Scot Halvorsen
Scot Halvorsen is Assistant General Counsel at Cboe Global Markets. Mr. Halvorsen was previously Vice President and Assistant General Counsel in SIFMA’s Financial Services Regulatory Operations group. The group is focused on major legislative, regulatory, and operational issues in the securities markets, including trading, market utilities, infrastructure, technology, operating efficiencies, risk mitigation, and business resiliency.
Prior to joining SIFMA, Mr. Halvorsen served as general counsel and corporate secretary of a global broker-dealer’s CFTC registered swap execution facility (SEF), providing counsel on compliance with federal securities and derivatives laws. While at The Depository Trust & Clearing Corporation (DTCC), Scot provided counsel on securities regulatory matters, clearance and settlement, and corporate governance. In private practice, he focused on federal securities laws, stock exchange rules, and public company mergers and acquisitions. He has also advised mutual fund clients on a broad range of matters, including their formation, registration with the SEC under the Investment Company Act of 1940, and ongoing regulatory reporting and compliance obligations. He began his career as an attorney at the U.S. Department of the Treasury’s Office of the Comptroller of the Currency (OCC).
Mr. Halvorsen earned his J.D. from the University of North Carolina at Chapel Hill, School of Law and a B.S. degree from Purdue University.