Sammons, Erin C.

Claire Hanselmann is a counsel in the firm's Securities Department, and a member of the Broker-Dealer Compliance and Regulation Practice Group. She joined the firm in 2002.

Practice

Ms. Hanselmann advises and represents broker-dealers, hedge funds, banks and other financial institutions, securities exchanges and securities trade associations regarding compliance with federal and state securities laws and regulations and the rules of the self-regulatory organizations. She has worked with clients to draft and implement retail and institutional compliance and supervisory policies and procedures, represented broker-dealers and individuals in connection with SEC and self-regulatory organization examinations and enforcement investigations, and assisted with compliance reviews and audits as well as internal investigations. Her practice includes providing advice regarding information barriers, research analyst independence, auction rate securities, broker-dealer registration and ownership, trade and order reporting and mergers and acquisitions involving financial institutions.

Publications

Ms. Hanselmann has co-authored several publications and industry outlines regarding broker-dealer regulation, including:

• "SEC Approves Sweeping Changes to FINRA's Regulatory Reporting Rules," (Weiss, Lee, Newman, Eckert and Hanselmann), Journal of Investment Compliance, Vol. 12 Iss: 1, pp.65 - 69, 2011
• "An Overview of Broker-Dealers' Regulatory Order and Trade Reporting Obligations," (Newman, Cassas and Hanselmann), 15th Annual NASD Spring Securities Conference, May 2006
• "Registration Implications of Cross-Border Trading Activities," (Becker, Weldon, Stekler, Roche, and Hanselmann), 1428 PLI/Corp 839, 849-50, May 2004