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Jacqueline Marie Rugart is an associate in the New York office of Latham & Watkins and a member of the Financial Institutions Industry Group.
Ms. Rugart advises on registration and compliance matters for broker-dealers, investment advisors, and securities market regulation, as well as transactional aspects of derivatives products. Ms. Rugart’s regulatory practice covers a wide range of broker-dealer regulatory matters, including FINRA membership applications, FINRA and SEC compliance enforcement, cross-border broker-dealer activities, and FINRA and SEC rule changes and developments. She also regularly advises a wide array of clients with respect to various reporting requirements under the Securities Exchange Act of 1934. Ms. Rugart also has experience with commercial paper offerings and asset securitization programs.