Jody Rosen

• Represented broker-dealers in FINRA enforcement investigations.
• Drafted numerous placement agreements on behalf of investment advisers and broker-dealers.
• Advised broker-dealers on the filing of New Membership Applications and Continuing Membership Applications.
• Reviewed marketing materials for compliance with the ’40 Act and FINRA rules on behalf of investment advisers and broker-dealers, respectively.

Jody Rosen advises broker-dealers in regulatory compliance and enforcement matters involving the U.S. Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and state regulatory agencies. His experience includes the creation and implementation of compliance programs and manuals, managing information barriers and inter-departmental conflicts of interest, licensing issues, record retention, electronic communication supervision, and AML reviews and monitoring. Before joining the firm, Jody served as general counsel and chief compliance officer to a full-service broker dealer, where he led the response to multiple examinations and inquiries of the SEC, FINRA, and state securities commissions.

Bar Admissions

• District of Columbia
• Maryland

Education

• The Catholic University of America (J.D., 2005)
• University of Maryland (B.S., 2001)