Todd Genger to Launch New Securities Compliance Blog

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Todd Genger, a leading securities compliance expert and former securities attorney is launching a new compliance blog for broker-dealers, investment advisers and private investment funds.

Todd Genger
Todd Genger is well-versed in the rules, regulations, best practices and strategies necessary to respond to the significant legal and regulatory changes in the securities industry.

Todd Genger, a leading securities compliance expert and former securities attorney is launching a new compliance blog for broker-dealers, investment advisers and private investment funds.

The new blog will highlight the latest developments in federal and state securities laws, FINRA regulations, litigation and enforcement developments. The Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 imposed the most far reaching reforms of American business practices since the Sarbanes-Oxley Act in areas such as consumer protection, trading restrictions, credit ratings, regulation of financial products, corporate governance and disclosure, and transparency.

“The new blog will provide timely updates from the Securities and Exchange Commission, FINRA, state securities regulators and other government agencies affecting our clients,” said Todd Genger. “My goal is to anticipate compliance questions and issues and share industry-wide best practices in dealing with the latest regulatory changes. The blog will feature contributions from experienced attorneys and senior securities compliance experts providing services to a wide range of clients subject to broker-dealer, investment adviser and hedge fund regulations.”

About Todd Genger

Todd Genger has worked closely with many of the largest financial institutions in the world. Todd Genger is well-versed in the rules, regulations, best practices and strategies necessary to respond to the significant legal and regulatory changes in the securities industry. Todd Genger has developed advanced testing and monitoring solutions to identify compliance risks for financial services companies and managing risks by coordinating training, updating policies and procedures, and enhancing supervisory controls for registered investment advisers and broker-dealers. Todd Genger coordinated responses to dozens of SEC, NYSE and FINRA enforcement actions, regulatory inquiries and routine examinations.

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