Elizabeth Marino, a partner in the firm’s Boston office and a member of the Securities Enforcement and Regulatory practice, has been named by Massachusetts Lawyers Weekly to its 2023 “Top Women of Law” list. The annual recognition “celebrates the achievements of exceptional women lawyers who are pioneers, educators, trailblazers and role models.”
Elizabeth regularly assists large financial institutions with the collateral consequences associated with settlements with the SEC, CFTC, state regulators, and others, including seeking and obtaining waivers from the SEC of the Rule 506 of Regulation D and well-known seasoned issuer disqualifications and drafting and assisting with FINRA MC-400 and MC-400A applications. Elizabeth regularly advises broker-dealers on regulatory reporting obligations, including matters related to disclosure on Forms U4 and U5 and FINRA Rule 4530, among others. She previously worked as a staff attorney in the SEC’s Division of Market Regulation, where she focused on anti-fraud and anti-manipulation rules, particularly those related to Regulation M, IPO allocations, trading, issuer tender offers, and issuer repurchases.