Mark Highman is a securities and derivatives regulation lawyer based in New York. He represents broker-dealers, investment advisers, commodity pool operators and commodity trading advisors on their regulatory requirements under the US federal securities laws and Commodity Exchange Act. 

Mark advises firms on SEC and CFTC registration requirements and assists firms in obtaining SEC and CFTC registration. He also guides regulated firms on their regulatory requirements under the SEC, CFTC, FINRA, FinCEN and NFA Rules, including requirements applicable to employees, communications, customers, AML, privacy, research, recordkeeping, trading and supervision. 

Additionally, Mark develops compliance and supervisory policies and assists firms in responding to regulatory inquiries and examinations. He advises non-US firms on regulatory requirements applicable to cross-border securities and derivatives transactions in with US investors. Mark also advises on the regulatory requirements applicable to M&A transactions, sales of private funds and securities offerings.

Mark provides training to regulated firms and is a contributor to Lofchie’s Guides to Broker-Dealer Regulation and Commodities Regulation.