People

Jeremy Moorehouse

Counsel

Moorehouse, Jeremy

Jeremy Moorehouse advises and represents broker-dealers, securities exchanges, securities associations, banks and other financial institutions on complex matters regarding compliance with federal and state securities laws and regulations and self-regulatory organization rules. 

Mr. Moorehouse frequently counsels clients on various regulatory, compliance and enforcement matters, including with respect to transaction and audit trail reporting, securities trading and market activities, compliance and supervisory systems, sales practice rules, automated trading and risk controls, financial technology and trading platforms, net capital requirements and securities offerings. He also works closely with clients on broker-dealer registration issues, including the FINRA new member and continuing member application processes and regulatory issues related to corporate transactions and cross-border and offshore activities. 

While pursuing his law degree, Mr. Moorehouse held a summer associate position with WilmerHale and also worked for several components of the US Department of Justice, including the Criminal Section of the Civil Rights Division, US Marshals Service Office of General Counsel, and Executive Office for Immigration Review.

Publications & News

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March 27, 2018

SEC Proposes Transaction Fee Pilot for NMS Stocks

On March 14, 2018, the Securities and Exchange Commission (SEC) proposed Rule 610T of Regulation NMS under the Securities Exchange Act of 1934 to conduct a pilot program (Pilot) to study the effect of equity exchange transaction fees and rebates, and changes to those fees and rebates, on order routing behavior, execution quality and market quality.

August 29, 2017

WilmerHale Assists Pepe the Frog Creator in Enforcing IP, Striking Back at Islamophobic Children’s Book

On behalf of client and artist Matt Furie, the creator of Pepe the Frog, WilmerHale has enforced Furie's intellectual property rights to shut down distribution of Eric Hauser's controversial children's book The Adventures of Pepe and Pede.

June 27, 2017

WilmerHale Represents State Street in the Sale of its BlockCross ATS to Instinet

Longstanding client State Street is represented by a team led by Stephanie Evans that includes Livingston Miller, Mark Nylen, Byron Crowe, Nils Remole, Andre Owens, Jeremy Moorehouse, Michael Bevilacqua, Bill Caporizzo, Amy Null and Benjamin Kelsey.

January 4, 2016

SEC Proposes Significant Regulatory Changes for Alternative Trading Systems

The Securities and Exchange Commission recently proposed significant changes to the regulatory requirements applicable to dark pools and other alternative trading systems that trade national market system stocks. The proposed changes would require detailed public disclosure about the operation of the trading systems, as well as their owners and operators.

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.

April 14, 2015

Expanding Oversight of Active, Proprietary Trading Firms: SEC Proposes Amendments to Rule 15b9-1

On March 25, 2015, the Securities and Exchange Commission ("SEC" or "Commission") proposed an amendment to Rule 15b9-1 (the “Proposal”) under the Securities Exchange Act of 1934 ("Exchange Act") that, if adopted, would close an historical exception to the general requirement that registered broker-dealers must become members of a registered national securities association ("Association"), effectively, the Financial Industry Regulatory Authority ("FINRA").

January 13, 2015

SEC Adopts Regulation Systems Compliance and Integrity

On November 19, 2014, the Securities and Exchange Commission (“Commission” or “SEC”) voted unanimously to adopt proposed Regulation Systems Compliance and Integrity (“Reg SCI”) under the Securities Exchange Act of 1934 (“Exchange Act”), as well as certain conforming amendments to Regulation ATS (“Reg ATS”).

October 22, 2013

Knight Capital Settles Rule 15c3-5 Violations with SEC, Agrees to Pay $12 Million

October 8, 2013

SEC Staff Issues FAQs on the Liability of Compliance and Legal Personnel at Broker-Dealers

On September 30, 2013, the staff of the Securities and Exchange Commission's (SEC) Division of Trading and Markets issued a new set of frequently asked questions (FAQs) regarding the liability of compliance and legal personnel at broker-dealers under Sections 15(b)(4) and 15(b)(6) of the Securities Exchange Act of 1934 (Exchange Act).

August 13, 2013

WilmerHale Again Tops Contributions in Generous Associates Campaign

For the 11th consecutive year, WilmerHale has surpassed the donations of all participating law firms in the Legal Aid Society’s Generous Associates Campaign, a fundraising campaign run by associates at Washington DC law firms.

Practices

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Education

JD, magna cum laude, Loyola University Chicago School of Law, 2010, Alpha Sigma Nu Honors, Executive Editor, Loyola University Chicago Law Journal, Member, Public Interest Law Reporter

BA, Economics, Northwestern University, 2007

Bar Admissions

District of Columbia

New York

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