Ed Johnsen concentrates on regulatory matters relating to broker-dealers, investment banks, investment advisers, hedge funds and other financial institutions of all sizes.

Ed has more than 25 years of experience counselling broker-dealers, investment banks, investment advisers, fund managers, proprietary traders and other securities market participants in a wide variety of jurisdictions around the world, addressing a broad spectrum of regulatory and transactional issues relating to the domestic and international securities markets, including selling and trading securities and derivatives, proprietary trading, algorithmic and program trading, risk arbitrage, capital markets and investment banking, structured products, emerging market securities sales and trading, investment research, crowdfunding and internet capital-raising. He has developed supervisory and compliance policies and procedures for US and non-US broker-dealers, banks and hedge funds, including procedures for securities sales and trading, international trading, market making (stocks and options), equity derivatives sales and trading, program trading, handling of sensitive and non-public information, and soft dollars.

With nearly a dozen years of in-house experience at major financial institutions, Ed has a unique understanding of the needs of clients as they navigate complex regulatory issues. He has extensive experience handling SEC, FINRA and other regulatory examinations and working with compliance departments to create compliance programs, codes of conduct, information barriers, and automated surveillance systems. He also provides compliance training for broker-dealer, investment adviser and other financial institution personnel. Ed has worked closely with broker-dealers, banks, investment banks, investment advisers and hedge funds in responding to new and existing regulatory requirements relating to short sales, securities settlement and regulatory reporting. He regularly advises on issues relating to the domestic and international securities markets and the SEC’s reporting requirements for institutional investment managers, broker-dealers, corporate insiders and holders of large positions. Ed has also worked with broker-dealers with respect to marketing and advertising matters, including issues related to online marketing of securities and broker-dealer services.