Anitra T. Cassas Partner

Anitra is the former co-chair of the firm's Broker-Dealers and Investment Advisers industry team. She has a securities regulation and enforcement practice, with a particular emphasis on broker-dealers, investment advisers and municipal advisors.

Anitra represents broker-dealers, investment advisers, municipal advisors, private equity and hedge funds, banks and individuals in connection with government investigations, compliance examinations and internal audits.

She has extensive experience working with clients to devise and implement comprehensive compliance policies and procedures, supervisory systems and internal controls. Anitra has advised firms on a wide range of regulatory issues, including registration, research, sales and trading practices, order and trade reporting, referral agreements, advertising, custody, soft dollar arrangements, information barriers, conflicts of interest and insider trading.

Anitra previously served as special counsel in the SEC's Division of Trading and Markets, where she focused on the legal and policy implications of national market structure issues. She previously clerked for the Honorable Howard D. McKibben, U.S. District Court, Reno, Nevada.

Experience

Represented a private equity fund manager in connection with SEC investigation concerning conflicts of interest and other compliance program issues.  

Represented financial advisors, underwriters and issuers in connection with SEC, FINRA and state investigations involving the offer and sale of municipal securities.

Represented broker-dealers in connection with federal and state investigations regarding the sale of auction-rate securities.

Advised several national banks on compliance with the municipal advisor rules, soft dollar practices and networking arrangements.

Advised clients in connection with acquisitions of registered broker-dealers and investment advisers.

Represented broker-dealers in connection with various FINRA investigations regarding discretionary trading, suitability, OATS and TRACE reporting, short sales, continuing education advertising and municipal bond underwriting.

Conducted internal audits of SEC-registered investment advisers.

Advised a national university on insider trading procedures.

  • University of California Berkeley School of Law, JD, 1995
  • University of California Berkeley, BA, 1991

Virginia Liaison, Subcommittee on Liaisons to Securities Administrators, American Bar Association

Member, Securities Litigation Committee and SRO Subcommittee, American Bar Association

Member, SIFMA Legal & Compliance

  • District of Columbia
  • Virginia
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