Helen J. Moore

Helen focuses her practice on securities regulatory, compliance and enforcement matters affecting broker-dealers (BDs) and investment advisers (IAs). She has counseled BDs and IAs with respect to SEC and SRO Consolidated Audit Trail (CAT) and Electronic Bluesheets (EBS) rules and rules governing supervision, best execution, Large Trader ID (LTID) reporting and books & records requirements, as well as with respect to SRO Large Option Position Reporting (LOPR) and OTC trade reporting rules.