Mark M Attar

Mark Attar represents and counsels broker-dealers on all aspects of their business, including examination and enforcement, with a particular focus on SEC and SRO financial and operational rules, including rules relating to net capital, customer protection, books and records, reporting, and risk assessment. He advises companies active in the digital asset business, rating agencies, and investment advisers, and has expertise helping firms satisfy their independent consultant undertakings with regulators.

Mr. Attar brings 12 years of experience at the Securities and Exchange Commission to his client engagements. His roles at the SEC included Branch Chief and Senior Special Counsel, both in the Office of Broker-Dealer Finances. There he managed attorneys responsible for administering the SEC’s broker-dealer financial responsibility rules. This included completing mandating rulemaking under the Dodd-Frank Act relating to security-based swap dealer capital, margin, and segregation, statutory and regulatory credit rating reference removal, broker-dealer reporting, and audit and notification requirements.