Meet Matthew Comstock - BlockchainConferences.io
Matthew Comstock

Matthew Comstock

Shareholder Murphy & McGonigle PC

About

Matthew Comstock has a diverse law practice covering all aspects of the broker-dealer and trading and markets business. He regularly advises broker-dealer, securities market, hedge fund and other clients on a variety of regulatory, compliance, product and transactional matters. Areas of expertise include broker-dealer financial responsibility, including net capital, customer protection, books and records, broker-dealer liquidations under the Securities Investor Protection Act (SIPA) and securities credit regulation (margin regulation); compliance with self-regulatory organization rules; short selling; regulations governing market manipulation; securities lending; soft dollars; prime brokerage; and market structure. Matthew has particular experience and expertise in dealing with the provisions of the Dodd-Frank Act applicable to broker-dealers, including provisions relating to securities-based swap dealers.

Recent significant matters in which he has been involved include representing major financial services firms in matters relating to cross-border broker-dealer registration and operations issues and assisting in developing novel and complex investment products and services.

As an attorney in the SEC’s Division of Trading and Markets, he held the positions of Branch Chief, Special Counsel and Staff Attorney in the Office of Financial Responsibility. He had responsibility for a variety of matters relating to broker-dealer net capital requirements, customer protection, broker-dealer books and records requirements, margin and broker-dealer liquidations.

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