John V. Ayanian

John is co-chair of McGuireWoods’ Securities Enforcement & Regulatory Counseling practice group and advises clients on broker-dealer and securities market regulatory matters.  John has substantial experience advising broker-dealers, including retail, institutional and clearing broker-dealers on a wide range of regulatory and compliance obligations under the Securities Exchange Act of 1934 and SEC, FINRA, and MSRB rules impacting their respective businesses.  John regularly advises clients on broker-dealer status issues; Regulation Best Interest; Form CRS; conflicts of interest; disclosures; advertising; the distribution of investment products and investment research; trading issues; best execution obligations; and SEC and  FINRA registration issues; and digital engagement practices,   John also is an expert on issues involving broker-dealers’ obligations under net capital and customer protection rules, market structure, regulatory matters involving mergers and acquisition transactions, as well as issues involving the use of money market and bank deposit sweep programs.

Prior to joining McGuireWoods, John has served as the co-chair of a national law firm’s financial services industry initiative, the Washington, D.C. office practice leader for the firm’s broker-dealer regulatory practice, as well as the office managing partner. He was vice president and assistant general counsel with a national bank holding company, where he worked with its broker-dealer subsidiaries. He also served as a staff attorney and Special Counsel in the SEC’s Division of Market Regulation, Office of Market Supervision, where he was responsible for the regulation of trading and markets.