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Daniel A. Nathan

Daniel A. Nathan
Partner
Washington D.C., (202) 887-1687
New York, (212) 468-8146
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Education

  • Massachusetts Institute of Technology (B.Sc., 1979)
  • ;
  • New York University School of Law (J.D., 1983)

Practices

Securities Litigation, Enforcement + White-Collar Defense
Securities: Regulatory + Enforcement
Broker-Dealer Compliance + Regulation

Bar Admissions

  • New York
  • District of Columbia
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When Legal or Compliance Personnel May Be Subject to Failure to Supervise Liability Under the Securities Laws
10/9/2013
Investment Management, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
FINRA Gives Member Firms a Thumbs Up on Suitability Rule Compliance
9/30/2013
Investment Management, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
The CFTC Charges Civil Perjury, Even After the Witness Comes Clean
The BD/IA Regulator
9/23/2013
Investment Management
Blog Post
Renewed Focus on an Old Rule: SEC Steps Up Rule 105 Enforcement Efforts
9/18/2013
Investment Management, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
PCAOB’s Report on Broker-Dealer Audit Deficiencies Points the Way for BDs to Improve Their Financial Reporting and Compliance
8/26/2013
Investment Management, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
Hurricane Sandy Redux: Agencies Recommend Business Continuity Planning
8/21/2013
Investment Management, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
SEC Delays Effectiveness of Large Trader Reporting for Some Broker-Dealers
8/15/2013
Client Alert
Insider Trading in Mutual Funds: Do Traditional Theories Apply?
8/8/2013
Investment Management, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
SEC to Broker-Dealers: More Oversight, Fewer Madoffs?
8/7/2013
Investment Management, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
Please Mr. Postman: FINRA Cracks Down on Late Prospectus Delivery
7/26/2013
Investment Management, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
The STOCK Act and the Political Intelligence Industry
Harvard Law School Forum on Corporate Governance and Financial Regulation
7/20/2013
Banking + Financial Services, Financial Institutions + Financial Services, Investment Management, Public Companies Counseling + Compliance, Regulatory + Enforcement, Securities Litigation, Enforcement + White-Collar Defense
Article
Reprinted with permission.
The STOCK Act and the Political Intelligence Industry: No Easy Answers
6/24/2013
Banking + Financial Services, Financial Institutions + Financial Services, Investment Management, Public Companies Counseling + Compliance, Regulatory + Enforcement, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
FINRA Issues Sweep Letter Regarding Use of Social Media
6/19/2013
Broker-Dealer Compliance + Regulation, Capital Markets, Financial Institutions + Financial Services, Social Media
Client Alert
Inside Baseball – SEC Enforcement Co-Chief Calls ‘Em Like He Sees ‘Em
6/19/2013
Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
Broker-Dealer Email Systems Must Keep Pace with Firm Growth, FINRA Says
5/28/2013
Banking + Financial Services, Broker-Dealer Compliance + Regulation, Financial Institutions + Financial Services, Investment Management, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
FINRA Focuses on Anti-Money Laundering Procedures and Red Flags
5/16/2013
Banking + Financial Services, Broker-Dealer Compliance + Regulation, Financial Institutions + Financial Services, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
FINRA Identifies Concerns with Marketing of Real Estate Investment Products
5/10/2013
Broker-Dealer Compliance + Regulation, Investment Management, Private Equity Funds
Client Alert
SEC and CFTC Issue Identity Theft Rules
4/19/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Investment Management, Public Companies Counseling + Compliance, Regulatory + Enforcement, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
Enforcement Heads Reveal All at SIFMA Annual Seminar
3/22/2013
Public Companies Counseling + Compliance, Regulatory + Enforcement, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
FINRA Proposes Keeping the 5% Rule on Markups; Also Plans to Revise QIB Standards on Debt Securities
3/6/2013
Banking + Financial Services, Broker-Dealer Compliance + Regulation, Capital Markets, Financial Institutions + Financial Services, Financial Services
Client Alert
FINRA Rule 4530 – Recent Revisions Remind Broker-Dealers of the Importance of the New Requirement to Report Internal Findings of Violative Conduct
2/27/2013
Banking + Financial Services, Broker-Dealer Compliance + Regulation, Financial Institutions + Financial Services
Client Alert
Will The CFPB Take on the Regulation of Retirement Savings Plans?
2/25/2013
Banking + Financial Services, Financial Institutions + Financial Services, Financial Services
Client Alert
FINRA Provides Early Guidance About Its Exam Priorities; Firms Should Take Notice
1/15/2013
Broker-Dealer Compliance + Regulation, Financial Institutions + Financial Services, Financial Services, Investment Management, Securities: Regulatory + Enforcement
Client Alert
Startups, Accelerated
MoFo Tech Blog
11/12/2012
Securities: Regulatory + Enforcement
Article
Shoot First and Ask Questions Later: Financial Regulators’ Use of Their Emergency Enforcement Powers
Financial Fraud Law Report, Vol. 4, No 10
November/December 2012
Broker-Dealer Compliance + Regulation, Internal Investigations, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Article
Reprinted with permission.
Good Walls, Better Compliance: OCIE’s Report
10/1/2012
Broker-Dealer Compliance + Regulation, Capital Markets, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
FINRA Commences Sweep Request Relating to Conflicts of Interest
8/14/2012
Broker-Dealer Compliance + Regulation, Capital Markets, Securities Litigation, Enforcement + White-Collar Defense, Structured Products
Client Alert
Broker-Dealer AML Transaction Monitoring: The Devil’s in the Details
Securities Regulation & Law Report
7/23/2012
Securities Litigation, Enforcement + White-Collar Defense
Article
Reproduced with permission from Securities Regulation & Law Report, 44 SRLR 1410, 07/23/2012. Copyright 2012 by The Bureau of National Affairs, Inc. (800-372-1033) http://www.bna.com
Pitfalls for Broker-Dealers: Selling Novel and Complex Products
Securities Litigation, ABA, Vol. 22 No. 3
Spring 2012
Broker-Dealer Compliance + Regulation, Internal Investigations, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Article
Reprinted with permission. ABA Section of Litigation -Securities Litigation Committee.
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