Matt, a former lawyer at the Securities and Exchange Commission, has a diverse practice covering the legal and regulatory aspects of securities trading and markets. His focus includes the regulation of digital assets issued on the blockchain and, more broadly, technological developments in securities. He regularly advises trading platforms, broker-dealers, clearing agencies, hedge funds and other clients on a variety of compliance, regulatory, and transactional matters. He also interfaces with the staff of the SEC and other regulatory bodies on behalf of clients.
His areas of focus include creation of trading platforms, custody and trading of alternative investments and digital assets, and regulatory requirements facing broker-dealers.
Matt previously worked in the SEC's Division of Trading and Markets where he held the positions of branch chief, special counsel and staff attorney in the Office of Financial Responsibility. He was a shareholder and member of the executive committee at McGonigle, P.C., before it combined with Davis Wright Tremaine.
Matt has advised clients on the creation of a trading platform for digital markets and the establishment of cryptocurrency trading desks. He speaks and writes regularly on blockchain-related topics.
Matt frequently advises on broker-dealer financial responsibility, broker-dealer liquidations, securities credit regulation, compliance with self-regulatory organization rules, short selling, regulations governing market manipulation, securities lending and securities repurchase transactions, soft dollars, prime brokerage, and market structure.
At the SEC, Matt's responsibilities included a variety of matters relating to broker-dealer net capital requirements, customer protection, broker-dealer books and records requirements, and broker-dealer liquidations.
Admitted to Practice
District of Columbia
LL.M., University of Augsburg, 1995
- Fulbright Scholar
J.D., University of Pittsburgh School of Law, 1994
M.B.A., University of Pittsburgh, Katz Graduate School of Business, 1994
B.A., University of Pittsburgh, 1991
Band 3 in Financial Services Regulation: Broker-Dealer (Compliance), Nationwide, Chambers USA Guide (2021)
Band 3 in Financial Services Regulation: Broker-Dealer (Compliance & Enforcement), Nationwide, Chambers USA Guide (2020)