Amy Kroll

Career

A partner in the investment management practice, Amy Kroll counsels US and non-US financial institutions on US regulatory requirements and best practices related to broker and dealer activities. Clients seek her advice on issues related to implementation of new regulations, the acquisition and sale of broker-dealers, expansion of business and related regulatory requirements for financial institutions, and regulations related to the capital markets. This includes research activities and research analysts, supervisory controls and internal controls, and cross-border securities activities. She also advises clients on the collateral consequences of enforcement, civil, and criminal actions. She has a specific interest in the issues central to regional full-service and mid-market broker-dealers.

She advises clients on the collateral consequences of enforcement, civil, and criminal actions. She has a specific interest in the issues central to regional full-service and mid-market broker-dealers. She interacts regularly with staff at the Financial Industry Regulatory Authority (FINRA) and the US Securities and Exchange Commission (SEC), and has obtained waivers, no-action relief, and interpretive guidance for US and non-US entities.

Additionally, she has worked at the SEC twice. From 1997 to 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 to 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 to 2003, she was an independent consultant, focusing on issues confronted by non-US financial entities seeking to engage in broker-dealer activities in the United States. During that time, she also taught at the Washington College of Law, American University.

Amy serves as the Washington, DC, office practice group leader for the firm’s investment management practice. She previously served as a member of the NASDAQ Market Operations Committee. Prior to joining Morgan Lewis, she was a partner in the financial institutions regulatory, enforcement, and litigation practice at another international law firm.

To learn more about Amy and her experience, please go to: https://www.morganlewis.com/bios/amykroll

Personal

Wesleyan University, 1980, B.A., Cum Laude; Benjamin N Cardozo School of Law, 1983, J.D.