Bingham

Bingham

Amy Natterson Kroll

Partner

Amy Kroll counsels U.S. and non-U.S. broker-dealers on U.S. regulatory requirements and best practices, including implementation of new regulations, such as the Volcker Rule. Amy has particular experience with issues related to the equity capital markets, such as research activities and research analysts, supervisory controls and internal controls, and cross-border trading. Through her work, she has developed a command of the issues of special concern to regional full-service and mid-market brokerage firms.

Amy worked at the SEC twice. From 1997–1998 she was assistant general counsel (legislative and financial services) at the SEC, to which she had returned after five years in private practice counseling broker-dealers and other financial institutions. From 1984–1991, during her first tour of SEC service, she served in positions of increasing responsibility, first as an attorney-adviser in the division of Market Regulation (now the division of Trading & Markets), and subsequently as counsel to Commissioner Edward H. Fleischman and as senior special counsel in the division of Corporation Finance, Office of International Corporate Finance.

From 1998–2003, Amy was an independent consultant, focusing on the issues confronted by foreign financial entities seeking to engage in broker-dealer activities in the United States and also was an adjunct associate professor at the Washington College of Law, American University.

Amy is a frequent speaker and contributor to journals on topics of interest to broker-dealers and has served as a member of the NASDAQ Market Operations Committee.

Events

  • Speaker, The American Chamber of Commerce in Japan Presents: Investment Management Committee Meeting, Tokyo (March 18, 2014)
  • Speaker, The Volcker Rule: Implications for Japanese Asset Managers and Financial Institutions, Bingham videoconference (Feb. 28, 2014)
  • Speaker, Equity Trading, Equity Capital Markets, Enforcement Trends, Research Regulation and More, Bingham McCutchen Roundtable, New York, NY (Feb. 26, 2014)
  • Panelist, Private Fund Sales and Marketing: A Conversation With Senior Staff From the SEC Division of Trading and Markets, Practising Law Institute Seminar (Sept. 28, 2013)
  • Panelist, Broker-Dealer Regulation — An Overview, PLI’s Fundamentals of Broker-Dealer Regulation 2009, New York, N.Y. (June 29, 2009)
  • Panelist, Regulatory Update, ALI-ABA Conference: FINRA/SEC Compliance and Enforcement:
    The Changing Broker-Dealer and Adviser Regulatory Landscape (Sept. 18–19, 2008)
  • Panelist, Establishing an Effective Gifts and Entertainment Policy, ALI-ABA Conference: FINRA/SEC Compliance and Enforcement: The Changing Broker-Dealer and Adviser Regulatory Landscape (Sept. 18–19, 2008)
  • Designing Effective Internal Controls (NASD Rules 3012 and 3013 and NYSE Rule 342.30), SIFMA-CL 40th Annual Seminar, Orlando, Fla. (April 2008)
  • Retail Compliance & Supervision for Broker-Dealers, SIFMA-CL Fall Compliance Seminar, New York, N.Y. (November 2007)
  • Internal Controls (NASD Rules 3012 and 3013 an NYSE Rule 324.30) – One Year Later, SIFMA-CL Annual Seminar, Phoenix, Ariz. (March 2007)
  • Supervision and Compliance Obligations of Broker-Dealers, ALI-ABA Conference on Broker-Dealer Regulation, Washington, D.C. (January 2007)
  • Supervisory Issues for Broker-Dealers, SIA-CL Fall Compliance Seminar, New York, N.Y. (November 2006)
  • Compliance Internal Controls: One Year Later, NYSE Regulation Second Annual Securities Conference, New York, N.Y. (June 2006 )
  • Retail Compliance and Supervisory Issues for Broker-Dealers, SIA-CL Fall Compliance Seminar, New York, N.Y. (November 2005)
  • Supervision and Supervisory Controls, NASD Fall Securities Conference, San Francisco, Calif. (November 2005)
  • Supervision Issues, NASD Face-to-Face Conference, New York, N.Y. (September 2005) Implementation of Research Analyst Rules, NASD Spring Securities Conference, Baltimore, Md. (May 2005)
  • Effective Supervision Pre-Conference: Heightened Supervision, NASD Fall Securities Conference, Rancho Mirage, Calif. (October 2004)
  • The Evolving Role of Research Analysts in Broker-Dealers and Investment Advisers and Related Recent Regulatory Developments, National Society of Compliance Professionals (NSCP), Arlington, Va. (October 2004)

Publications

Memberships

  • Director, National Capital Poison Center, an independent, nonprofit organization that provides poison control services to residents of Washington, D.C., and its surrounding counties.

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