People

Daniel J. Martin

Senior Associate

Martin_Daniel

Daniel Martin focuses his practice on broker-dealer compliance and regulation.

Mr. Martin previously worked as a summer associate at WilmerHale, where he assisted with a variety of securities and regulatory matters. While pursuing his law degree, he completed an internship for the Honorable Jan E. DuBois of the United States District Court for the Eastern District of Pennsylvania.

Before entering law school, Mr. Martin spent several years at Google, where he managed corporate communications on various technology policy issues and led the company’s public affairs strategy for Google Fiber.

Publications & News

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April 4, 2018

Developments In CFTC Cooperation Program

In this article written by Paul Architzel, Matthew Beville, Yeve Chitiga and Daniel Martin, published by Futures and Derivatives Law Report, the authors analyze the steps that the Commodity Futures Trading Commission recently took to further encourage cooperation with and self-reporting to the Commission's Division of Enforcement.

February 6, 2018

2017 CFTC Year-in-Review and a Look Forward

In 2017, under the leadership of new Chairman J. Christopher Giancarlo, the Commodity Futures Trading Commission (CFTC or Commission) adopted a notable shift in its enforcement priorities and regulatory agenda.

July 24, 2017

FINRA and the MSRB Issue FAQs on Bond Mark-Up Disclosure

On July 12, 2017, the Financial Industry Regulatory Authority and the Municipal Securities Rulemaking Board published new implementation guidance on the bond mark-up disclosure requirements set to take effect next spring. This WilmerHale Client Alert was republished by Law360.

February 28, 2017

Hedge Fund Law Report Highlights WilmerHale's CFTC Year in Review

The Hedge Fund Law Report profiled a webinar by WilmerHale's Futures and Derivatives Practice that analyzed the Commodity Futures Trading Commission's major actions in 2016 and its top priorities for 2017.

January 23, 2017

2016 CFTC Year-in-Review and a Look Forward

In 2016, the CFTC continued to pursue high-profile enforcement cases and to test its new enforcement authority under the Dodd-Frank Act. This WilmerHale Client Alert was republished by the Harvard Law School Forum on Corporate Governance and Financial Regulation and the Futures and Derivatives Law Report.

November 29, 2016

SEC Approves Bond Mark-Up Disclosure Rules

On November 17, 2016, the Securities and Exchange Commission (SEC or Commission) approved new rules requiring dealers to disclose on retail customer confirmations their mark-ups and mark-downs on most municipal and corporate bond transactions, calculated from the bond's prevailing market price. This WilmerHale Client Alert was republished in Bloomberg Law's Securities Regulation & Law Report.

November 17, 2016

Update on NFA's Swap Dealer Examinations and Upcoming Priorities

Both the Commodity Futures Trading Commission (CFTC) and the National Futures Association (NFA), the self-regulatory organization for the US derivatives industry, have signaled their expectation—now nearly four years after swap dealers first became provisionally registered—that firms have had sufficient time to implement fully the CFTC's swap regulations. This WilmerHale Client Alert was also published by the Harvard Law School Forum on Corporate Governance and Financial Regulation on December 13, 2016.

November 9, 2016

CFTC Revises Proposed Reg AT

The Commodity Futures Trading Commission on November 3, 2016, proposed revisions  to proposed Regulation Automated Trading (Reg AT). Reg AT, if adopted, will broadly affect those in the futures industry who trade electronically, imposing new registration and supervision requirements on algorithmic traders.

February 11, 2016

SEC Adopts Rules on Non-US Firms That “Arrange, Negotiate, or Execute” Security-Based Swaps in the US

The Securities and Exchange Commission (SEC) adopted rules that will affect firms operating in the global security-based swap market. Specifically, the SEC is requiring non-US firms that arrange, negotiate, or execute security-based swaps using personnel located in the United States to include those security-based swaps in their calculations of whether they reach the threshold requiring security-based swap dealer registration.

December 17, 2015

Barclays Completes Sale of its US Wealth & Investment Management Business to Stifel Financial

On December 4, 2015, Barclays PLC completed the sale of its US Wealth & Investment Management Business to Stifel Financial Corp. WilmerHale represented Barclays through this transaction, which was announced on June 8, 2015.

Practices

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Education

JD, University of Pennsylvania Law School, 2014, Levy Scholar, Associate Editor, Journal of Business Law

MBA, Finance, The Wharton School, University of Pennsylvania, 2014

BA, Political Science and French, magna cum laude, University of Notre Dame, 2007

Bar Admissions

District of Columbia

New York

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