| Biography:
Rachel S. Lerner is an associate in the Corporate Department and is resident in the New York office of Proskauer Rose LLP.
Rachel’s practice focuses on counseling financial institutions, including full service and boutique brokerage firms, domestic and foreign investment banks, investment advisers, and investment companies on a broad range of regulatory, transactional, and enforcement matters. In the broker-dealer area, Rachel advises clients on SEC, SRO and blue sky regulation and compliance, debt and equity sales, trading practices, clearance and settlement issues, research activities, government securities regulation, private placements, public offerings, mergers and acquisitions, regulatory investigations, and enforcement matters.
Rachel has experience registering broker-dealers and agents with the SEC, NASD and state securities agencies and registering investment advisers with the SEC and state securities agencies. She has prepared NASD 1017 applications for approval of changes in ownership, structure or business activities, assisted with various regulatory filings, drafted and updated compliance manuals, provided rule interpretations, negotiated third party research agreements, conducted AML annual reviews, assisted in conducting internal investigations, interfaced with SEC, NASD, and NYSE regulators, and handled Forms U-4, U-5 and BD disclosure issues.
Rachel received her J.D. from Benjamin N. Cardozo School of Law in 1996, and received a B.A. in Political Science from Syracuse University in 1992. During law school, she was a member of the Arts and Entertainment Law Journal.
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