Peggy Blake focuses her practice on regulatory and compliance matters applicable to U.S. and non-U.S. broker-dealers under the Securities Exchange Act of 1934, as well as FINRA rules and the rules of other self-regulatory organizations. She counsels clients on all aspects of broker-dealer registration, the continuing membership process, broker-dealer acquisitions, and general regulatory and compliance issues. Peggy also has advised U.S. and non-U.S. investment advisers and private funds on applicable regulatory requirements under the Investment Advisers Act of 1940 and the Investment Company Act of 1940, respectively. She has advised U.S. and non-U.S. issuers on the Securities Act rules applicable to offshore offerings (Regulation S) and private placements (Regulation D) and has assisted global custodian banks in addressing issues of interest in the U.S. and abroad, including compliance obligations under the Investment Company Act of 1940.
Prior to joining Bingham, Peggy spent over 10 years in private practice, serving as partner at two law firms where she advised clients on securities regulatory and compliance matters.
In addition, Peggy spent more than three years in the Division of Market Regulation (now Trading & Markets) at the U.S. Securities and Exchange Commission, initially as an attorney-adviser in the Office of Risk Management and Control, and later as special counsel in the Office of Market Supervision.