Moorehouse, Jeremy

Jeremy Moorehouse

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.

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