Thomas E. Archer

THOMAS ARCHER advises broker-dealers, investment advisers, transfer agents, and other financial services firms on regulatory compliance, enforcement, examination, and transactional matters. His practice focuses on helping clients navigate the federal securities laws and SEC, FINRA, and other self-regulatory organization rules.

Thomas represents clients in examination and enforcement matters before the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority. (FINRA). He assists clients in responding to regulatory inquiries, examination requests, and enforcement subpoenas, and advises on related compliance, supervisory, and internal investigation issues.

Thomas also counsels broker-dealers on regulatory and transactional matters, including FINRA membership and continuing membership applications involving changes in ownership, control, and business activities. He has advised clients on new broker-dealer registration efforts, including matters involving digital assets.

Prior to joining the firm, Thomas served as an honors intern with the Securities and Exchange Commission’s Division of Enforcement and Division of Investment Management. He also worked as an intern with the Investment Company Institute.

Thomas participated in the Sidley Pro Bono Fellowship Program, working with the Children’s Law Center on guardian ad litem matters and multi-plaintiff education litigation.