Chris Grobbel counsels clients on broker-dealer and securities market regulation, including compliance and supervision. Chris represents clients in SEC and FINRA matters, including on broker-dealer formation and registration and ongoing compliance. Chris has a wide array of specialized experience at the SEC relating to broker-dealer compliance with SEC and FINRA regulations, SRO rules, market structure, Regulation NMS compliance, Regulation ATS, equity and options trading, AML compliance, Market Access Rule compliance, cybersecurity, financial technology and cryptocurrency, and communications with the public.

Chris’s unique experience gives him both breadth and depth of understanding of the securities laws and regulatory approach applicable to broker-dealers, SROs, ATSs, and other industry participants.

Areas of Practice
Domaines D’Expertise
Government Experience





Professional Experience

Prior to joining Goodwin, Chris served at the SEC as counsel in both the Division of Trading and Markets and the Division of Examinations. Among other significant matters, Chris advised on SEC rulemaking to amend Broker-Dealer order routing disclosures and led examinations of broker-dealers and of FINRA itself, focusing on AML compliance, digital assets and cryptocurrency, SEC Market Access Rule compliance, FINRA Market Regulation, FINRA Enforcement, cybersecurity, communications with the public, ATS compliance, research, and FINRA Rule 2241 compliance, among others.

While at the SEC, Chris regularly interacted with FINRA, other SROs, and industry participants, to facilitate amendments to market-wide Regulation NMS plans. Chris reviewed SRO Form 1 submissions and Form ATS Submissions for compliance, drafted approval orders for ETFs and ETPs, and advised on trading matters such as complex orders and order types. Chris also drafted approval orders for corporate governance rule filings such as SEC Rule 10C-1 compliance and golden leash disclosure requirements and special purpose acquisition companies. During his SEC tenure, Chris served on the SEC’s digital assets working group.



During his time at the SEC, Chris was a three-time recipient of the Divisions of Examination’s Four Pillars award recognizing excellence in improving compliance, preventing fraud, monitoring risk, and informing policy. Chris was awarded for his work in reviewing FINRA Enforcement matters, enhancing restitution to harmed investors, and broker-dealer cybersecurity.

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University of Florida, Levin College of Law
University of Michigan



District of Columbia
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Our clients rely on us for world-class advisory services, counsel on complex transactional work and high-stakes litigation. Specializing in matters involving the financial, life sciences, private equity, real estate, and technology industries, we use a collaborative, cross-disciplinary approach to resolve our clients’ most challenging issues. To find out more, please contact us.


Nos équipes interviennent aux côtés de nos clients, industriels, fonds d’investissement, startups, institutions financières et dirigeants, dans le cadre de transactions et de contentieux complexes, et apportent des conseils de tout premier plan dans les secteurs financiers, des Sciences de la Vie, du Private Equity, de l’immobilier et des technologies. Nous traitons les dossiers juridiques de manière intègre, ingénieuse, souple et audacieuse pour répondre efficacement aux enjeux propres à chacun de nos clients, quels que soient la taille de l’opération et le secteur d’activité. Pour en savoir plus, contactez-nous.

Unsere Kunden verlassen sich auf unsere erstklassige Beratung, vor allem im Hinblick auf komplexe Transaktionen und High-Stakes-Prozesse. Spezialisiert auf Angelegenheiten der Finanz-, Life-Sciences-, Private-Equity-, Immobilien-und Technologie-Branchen, verwenden wir einen kooperativen und interdisziplinären Ansatz, um Fragen unserer Kunden auch in extremen Spezialsituationen einer Lösung zuzuführen. Sie wollen mehr erfahren? Kontaktieren Sie uns gerne.

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