Donald Thompson counsels broker-dealers and other financial services firms on matters related to securities regulation, regulatory enforcement, internal investigations and examinations, and compliance. He also helps clients navigate acquisitions of brokers, dealers, and investment advisers.
He advises clients on a broad range of complex regulatory matters before the SEC and self-regulatory organizations, such as the Financial Industry Regulatory Authority (FINRA), including matters involving:
- Rules relating to self-regulatory organizations
- Broker-dealer and investment adviser status & registration requirements, including Rule 15a-6 arrangements
- Rule 15c2-11
- Research and Soft-dollars
- Securities-based lending
- Sweep programs
- Regulation of cryptocurrencies and digital assets
- Supervision obligations
- Regulation M
- Reg BI
- Financial responsibility rules
- Regulation ATS
- Insider trading policies and procedures
Before joining Latham, Mr. Thompson gained valuable first-hand experience during his time working within FINRA’s Office of Fraud Detection and Market Intelligence, as well as the SEC’s Office of Compliance Inspections and Examinations (OCIE) and its Enforcement Division.
Mr. Thompson also maintains an active pro bono practice, most recently representing a church involved in a longstanding corporate governance dispute.
Mr. Thompson is a member of the D.C. Bar’s Corporation, Finance and Securities Law section.