Michael T. Dorsey
Mike advises executives of broker-dealers and investment advisers on all regulatory aspects of their businesses, including fixed-income trading and securities lending, the structure of the equities market and Regulation NMS, alternative trading systems and Regulation ATS, sponsored access/direct market access and high-frequency trading, registration of the firm and its associated/affiliated persons, financial and operational matters, market making and sales trading, asset management and gathering, risk management and compliance oversight, and supervisory systems and procedures.
Mike is a former member of the International Committee and Trading Issues Committee of the Securities Traders Association of New York (STANY) and the Compliance Committee of the Securities Traders Association (STA).
Since leaving the SEC, Mike has held a variety of positions in the securities industry including: 1) associate general counsel Annaly Capital Management, Inc. (NYSE: NLY), focusing on its broker-dealer and investment adviser subsidiaries; 2) general counsel, corporate secretary, and director of global compliance at two public companies, Knight Capital Group, Inc. and Crown Financial Group, Inc.; 3) assistant general counsel in Prudential Investments at The Prudential Insurance Company of America advising institutional broker-dealers and corporate compliance; 4) general counsel and chief compliance office of WR Capital Management L.P., an investment adviser to a fund of funds and a leveraged, insurance dedicated fund; and 5) managing director of transaction services and compliance at the OTC Markets Group, Inc.
Mike has earned degrees from Georgetown University Law Center (LL.M Sec. Reg., May 1989), the University of Missouri-Columbia School of Law (J.D., May 1984), and St. Louis University majoring in Finance (BSBA, July 1981).
Currently holds Series 7 and Series 24 registrations.