Steffen Hemmerich

Steffen Hemmerich is a partner in the New York office of Mayer Brown LLP, Co-Head of the firm’s Financial Markets Regulatory & Enforcement practice and Head of the firm’s Broker-Dealer Regulatory & Compliance practice.
Steffen regularly counsels clients on federal and state broker-dealer regulatory matters and self-regulatory organization (SRO) matters, US Securities and Exchange Commission (SEC) financial responsibility rules, broker-dealer registration/formation, material changes in business operations, M&A transactions and joint ventures, foreign broker-dealer/cross-border issues, broker-dealer “status” questions, books & records requirements, regulatory reporting and disclosure obligations, vendor/outsourcing relationships, operational systems/technologies, product development, Financial Industry Regulatory Authority, Inc. (FINRA) advertising issues, digital platforms, including mobile trading apps, and digital engagement practices. Steffen also advises financial services firms and fintech companies on securities and broker-dealer regulatory matters relating to digital assets and blockchain technology.