Anitra T. Cassas Partner

Anitra is a 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, supervisory controls, order and trade reporting, referral agreements, information barriers, conflicts of interest, issuer repurchases, soft dollar arrangements 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 also was a law clerk for the Honorable Howard D. McKibben, U.S. District Court, Reno, Nevada.

Experience

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 a private equity fund in connection with its acquisition of a SEC-registered investment adviser.

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

Conducted an internal audit of a SEC-registered investment adviser.

Advised a hedge fund on policies and procedures concerning use of outside consultants.

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, Committee on State Securities Regulation, 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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