Corin R. Swift

CORIN SWIFT has extensive experience representing broker-dealers, investment advisers and other financial institutions in both internal and external investigations and enforcement proceedings. She also represents individuals, financial institutions, and public companies before regulators, including the U.S. Securities and Exchange Commission (SEC), the U.S. Department of Justice (DOJ), the Financial Industry Regulatory Authority (FINRA) and state securities enforcement authorities. Much of her work involves defending clients facing multijurisdictional and overlapping investigations. She has appeared in state and federal court, as well as FINRA arbitration proceedings on behalf of her clients.

Current and recent matters include:

• Insider Trading: Representation of individuals and public companies in SEC investigations relating to insider trading and 10b5-1 plans. 
• Cross-Trades, Mark-Ups and Disclosure: Representation of investment advisers and broker-dealers in SEC investigations relating to cross-trades, mark-ups and disclosure.
• Representation of a financial institution in connection with an SEC and FINRA investigation of fixed-income pricing and disclosures.
• Sales Practice: Representation of individuals and broker-dealers in various sales practice investigations and coordinated sweeps by state agencies. Representation of financial institutions and individuals in connection with sales practice investigations and proceedings by the Massachusetts Securities Division.
• Registration: Coordination of mass transfer of registered representative state registrations. Representation of individuals and financial institutions in connection with regulatory inquiries relating to state registration, Central Registration Depository filings and disclosure.
• Regulation BI/Fiduciary Duty: Representation of a financial institution in connection with an SEC investigation relating to disclosure. Representation of a financial institution in connection with state securities division investigation relating to fiduciary duties and cross-selling. Counseling relating to Regulation BI, Form CRS, and state fiduciary rules and proposals. 
• In addition to regulatory investigation and enforcement matters, Corin has also handled related internal investigations, and she routinely provides advice to broker-dealers and registered investment advisers on compliance and supervisory systems.

Corin has been recognized as “Lawyer of the Year” in 2018 and 2015 in Securities Regulation and is listed as a “Best Lawyer” in Securities/Capital Markets Law (2014–2022, 2026), Securities Regulation (2026), and Litigation — Regulatory Enforcement (2026) by The Best Lawyers in America®. Corin is a member of Sidley’s Securities Enforcement and Regulatory group, which received the 2019 Chambers USA award for “Financial Services Regulation,” and was named “Law Firm of the Year” for Securities Regulation in 2020 and 2017 by U.S. News – Best Lawyers.

Enforcement/Investigations

• Represented national broker-dealer in connection with self-reporting and regulatory enforcement action relating to ETF prospectus delivery.
• Represented multiple financial institutions in FINRA investigations into supervision of UTMA and other beneficiary accounts.
• Represented investment adviser in SEC investigation relating to fee disclosure.
• Defending a major investment bank, together with its current and former employees, in multiple investigations related to residential mortgage-backed securities by the SEC, state Attorneys General and the DOJ, Civil Division.
• Represented a broker-dealer and branch office manager in a FINRA investigation relating to allegations of unsuitable recommendations and unauthorized trading.
• Represented an individual in an investigation by the SEC, DOJ, the Public Company Accounting Oversight Board, the Commodity Futures Trading Commission, the Options Clearing Corporation and the Federal Reserve Bank of New York, relating to trading activities.  
• Represented a mortgage servicer in an investigation by a state Attorney General.
• Represented broker-dealers and registered representatives in multi-agency investigations of auction-rate securities sales practices and supervision.
• Represented broker-dealers and registered representatives in FINRA arbitrations, including claims relating to suitability, research, auction-rate securities, supervision and order execution.
• Represented a national broker-dealer in a state administrative enforcement proceeding involving allegations of differential compensation, suitability and supervision.
• Represented a national broker-dealer in a FINRA inquiry into mutual fund breakpoints.
• Represented a national broker-dealer in a FINRA investigation of anti-money laundering (“AML”) systems and procedures.

Counseling

• Led internal review of incentive compensation and potential conflicts of interest at large financial institution including affiliated broker-dealer and bank.
• Advised on internal review and regulatory reporting relating to disclosure issues including prospectus delivery, confirmation delivery, and disclosure content.
• Assisted a national broker-dealer with the largest FINRA broker-dealer merger to date, focusing on state registration of representatives.
• Drafted 1017 Applications for broker-dealer mergers and material changes in business.
• Conducted training for broker-dealer employees on regulatory inspections and document productions.
• Conducted an internal review of registered representative sales practices for a national broker-dealer.
• Conducted independent and internal reviews in matters involving market timing, supervision and accounting disclosures.
• Drafted supervisory and compliance procedures for a national broker-dealer and investment adviser.

*Some of the above matters were handled by Corin prior to joining Sidley.

Corin is a member of the American Bar Association, New York State Bar Association, Massachusetts Bar Association, and the Maine State Bar Association. She also serves on the board of directors for Birch Family Services, a leading provider of education, employment, and community support services for individuals with autism and developmental disabilities and their families in New York City.

Corin is a strong advocate for women in the legal profession and is a member of SidleyWomen, Sidley’s committee to retain and promote women lawyers within the firm, for which she previously served as the Boston co-chair. 

Corin is the New York co-chair of the firm’s Pro Bono and Public Interest Law Committee. She has a commitment to public service and has represented a wide range of pro bono clients in matters including landlord/tenant disputes, immigration proceedings and counseling for not-for-profit clients. For the past six years, Corin has led an initiative, in partnership with a firm client, to provide representation in immigration proceedings to survivors of domestic violence. She was one of the authors of the Boston Bar Association’s amicus brief in the landmark Goodridge case in Massachusetts, the first decision by a state’s highest court establishing the right of same-sex couples to marry under state law. She is active in a variety of non-profit and community organizations, and recently served on the board of Maine’s Disability Rights Center.