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.