KEVIN CAMPION advises a wide array of financial services firms including investment and commercial banks, broker-dealers, and hedge funds on a broad variety of regulatory, enforcement, compliance, and transaction matters. He focuses his practice in particular on broker-dealer and market regulation matters, with particular emphasis upon regulations governing short sales (Regulation SHO), short interest reporting, Regulation M, research analyst conflicts, FINRA advertising rules, clearance and settlement, and broker-dealer registration and compliance issues. Kevin also regularly assists advisers and hedge funds with trading questions and long and short position disclosure requirements, including the requirements of Sections 13(d), 13(f), and 16. In addition, he assists clients, mostly clearing firms and prime brokers, in the defense of U.S. Securities and Exchange Commission (SEC), FINRA, NYSE, and state enforcement actions and investigations, as well as securities law class actions. Kevin has represented the Securities Industry Financial Markets Association (SIFMA) with respect to comment letters submitted to the SEC, and in obtaining a variety of no-action letters from the SEC Staff relating to Regulation SHO and Rule 10a-1, including working with the SIFMA Prime Brokerage Committee on the new Prime Broker Letter.
Kevin and his team are consistently ranked among leading lawyer rankings. He has been recognized annually in Chambers USA since 2011 in the area of Financial Services Regulation: Broker Dealer (Compliance; Nationwide). The 2022 edition of Chambers USA highlights Kevin for his “prominent broker-dealer compliance practice, offering clients comprehensive guidance with respect to rules set by the SEC, SIFMA and FINRA...” with clients observing he is “‘highly respected and knowledgeable.’” The firm also received the most first-tier national rankings, including Securities Regulation, of any U.S. law firm every year since the 2011 U.S. News — Best Lawyers® “Best Law Firms” survey. Kevin is a member of Sidley’s global Securities Enforcement and Regulatory practice, which received the 2019 Chambers USA Award for Financial Services Regulation, and was named the “Law Firm of the Year” for Securities Regulation in 2020 and 2017 by U.S. News – Best Lawyers®.
Awards
- Ranked in Chambers USA, Financial Services Regulation: Broker Dealer (Compliance) (2011–2022)
- Rising Star in Capital Markets, Euromoney LMG (2015)