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.