Jacqueline A. MayJacqueline A.May
Of Counsel, Investment Funds & Private Capital
Jacqueline May is of counsel in the Investment Funds & Private Capital practice at Paul Hastings and is based in the firm’s New York office. Her practice focuses on federal and state (blue sky) securities laws, investment management law and broker-dealer regulation.
Jacqueline counsels investment advisers and broker-dealers on federal and state regulatory issues, including those involving the SEC, CFTC, FINRA and NFA, and advises them on all aspects of their ongoing operations. She advises clients on, among other matters, SEC financial responsibility rules (net capital and customer protection rules), foreign broker-dealer/cross-border requirements (SEC Rule 15a-6 and related SEC guidance), books and records requirements (including electronic recordkeeping issues), general broker-dealer registration (and SRO membership), successor registration, and material change in business operations and change in ownership/control requirements.
Member — American Bar Association''s Section on Business Law, Committee on Federal Regulation of Securities and its Subcommittees on FINRA Corporate Financing Rules and Market Regulation, Committee on State Regulation of Securities, Subcommittee on State Broker-Dealers and Investment Advisers