Kathy Rocklen

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Kathy H. Rocklen is a partner in the Corporate Department and co-head of the Financial Services Group. She has more than 30 years of corporate and securities law experience. Kathy joined Proskauer in 2000 after serving as general counsel for a prominent UK investment bank, a regulator for the New York Stock Exchange, and previous private practice.

Kathy counsels major financial institutions, including full-service and boutique brokerage firms, domestic and foreign investment banks, investment advisers, hedge funds, commercial banks and self-regulatory organizations on a broad range of regulatory, transactional, enforcement and litigated matters. She advises clients on the formation of regulated entities, SEC, SRO and state regulation and compliance, domestic and cross-border capital markets transactions, mergers, acquisitions and joint ventures, investment product development, internal investigations, defense of civil enforcement proceedings and criminal prosecutions, and securities arbitrations and litigation.

Latest Articles

The Commodity Futures Trading Commission (CFTC) recently brought its first enforcement action arising from the Dodd-Frank requirement that swap transactions be reported to a registered swap data repository (SDR). The CFTC has emphasized that the accuracy and completeness of swap reporting is essential to enhance market transparency, promote standardization and reduce systemic risk.…