Ethan L. Silver

Chair, Broker-Dealer Practice at Lowenstein Sandler LLP

Ethan L. Silver

Ethan L. Silver

Chair, Broker-Dealer Practice at Lowenstein Sandler LLP

Biography

Ethan is a recognized leader in the representation of broker-dealers in regulatory, enforcement, and compliance matters related to federal and state securities laws and regulations, and the rules of self-regulatory organizations such as the Financial Industry Regulatory Authority (FINRA). He also spearheads an emerging practice representing regulated financial technology companies, including mobile-first brokerage platforms, robo-advisers and cryptocurrency focused businesses.

The regulatory portion of Ethan's work focuses on advising broker-dealers on formation issues, including guiding them through obtaining FINRA membership and the state registration process. He also advises clients on how to obtain FINRA approval of continuing membership applications for changes of ownership and for material changes to their businesses.

Ethan counsels broker-dealers on compliance with Security and Exchange Commission (SEC) regulations and related FINRA rules, including:

* Net capital and customer protection rules
* Trading and reporting rules
* Foreign broker-dealer/cross-border requirements
* Books and records requirements
* ATS formation and operation
* Rules relating to advertising and sales materials
* Margin rules
* Finder issues and related fee payment/splitting issues

Ethan also guides clients through SEC and FINRA examinations, and helps them develop and update written supervisory procedures and compliance manuals. Financial institutions benefit from his advice on compliance with anti-money laundering regulations and related issues.

Ethan regularly counsels clients on whether they require broker-dealer registration, and assists them in obtaining interpretive guidance and no-action relief from the SEC, FINRA, and the states. He co-authored the "M&A Broker No-Action Letter" granted by the SEC, which permits M&A brokers to receive transaction-based compensation without registering as broker-dealers.

On the enforcement side of his practice, Ethan advises clients on a range of proceedings with the SEC, FINRA, and state regulatory authorities, and he regularly prepares and defends witnesses in:

* FINRA on-the-record interviews
* SEC testimony connected with investigations relating to allegations of fraud, failures to supervise, and sales practice violations
* Form U4 disclosure issues and potential MC-400 applications
* Trading and reporting issues

Overview
RelSci Relationships

549

Relationships
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Partner & Chair, Lending & Finance Practice at Lowenstein Sandler LLP

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Co-Chair, Corporate Finance & Securities Practice at Lowenstein Sandler LLP

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Partner at Lowenstein Sandler LLP

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Director at Lowenstein Sandler LLP

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Chair, Tax Group at Lowenstein Sandler LLP

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Chief Financial Officer at Lowenstein Sandler LLP

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Chairman at Lowenstein Sandler LLP

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Deputy General Counsel at Lowenstein Sandler LLP

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Chief Information Officer at Lowenstein Sandler LLP

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Co-Chair, Antitrust at Lowenstein Sandler LLP

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Ethan L. Silver
Chair, Broker-Dealer Practice at Lowenstein Sandler LLP
Career History
Chair, Broker-Dealer Practice
2016 - Current

Lowenstein Sandler PC is a law firm headquartered in Roseland, NJ. It offers services in the fields of bankruptcy, financial reorganization, creditors’ rights, corporate law, employment & labor, employee benefits, executive compensation, litigation, and real estate. It services the communications, financial services, information technology, investment management, life sciences, media & entertainment, and securities industries. The law firm was founded in 1961.

Other Affiliations

Ethan L. Silver is affiliated with Lowenstein Sandler LLP, Carter, Ledyard & Milburn LLP

This web site is not endorsed by, directly affiliated with, maintained, authorized, or sponsored by Ethan L. Silver. The use of any trade name or trademark is for identification and reference purposes only and does not imply any association with the trademark holder. The Presence of Ethan L. Silver's profile does not indicate a business or promotional relationship of any kind between RelSci and Ethan L. Silver.