Ayalew_Mahlet

Mahlet Ayalew

Mahlet Ayalew advises and represents broker-dealers and global financial institutions regarding compliance with federal and state securities laws and regulations.  

Ms. Ayalew counsels and represents broker-dealers, securities exchanges and other clients on a variety of regulatory issues relating to the rules of the US Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA) and various securities exchanges, including Regulation NMS, Regulation ATS, automated trading and risk controls and order handling matters.   

She also has experience representing clients in connection with investigations involving equities market structure issues, such as high frequency, algorithmic and alternative trading systems, as well as compliance with numerous regulatory requirements.   

Ms. Ayalew has advised clients in connection with FINRA applications, and worked with clients to develop comprehensive compliance and supervisory procedures for a range of broker-dealer activities, including the misuse of confidential information, conflicts of interests, information barriers, research analyst independence, surveillance procedures, financial responsibility, trading issues and sales practice issues, and firm-wide supervision.  

Insights & News

Credentials