Edward L. Pittman advises broker-dealers and money managers in a broad range of matters, including capital market structure, operations, “pay-to-play” and ethics-related corporate issues, and the creation of internal compliance procedures. He also advises on formation issues and enforcement proceedings and advocates policy positions before financial regulators.
Mr. Pittman’s clients have included some of the financial services industry’s largest clearing firms and global transfer agents, fundamental and quantitative advisers, national securities exchanges, ATS, high frequency trading firms, investment banks, soft dollar brokers, exchange specialists, market makers, boutique merger and acquisition firms, and banks. Among other assignments, he has represented a pension consulting firm in a SEC inquiry and served as both SEC and state-mandated independent consultant following enforcement proceedings.
Mr. Pittman is a prolific author and speaker in the areas of corporate ethics, pay to play regulations, as well as U.S. equity market structure. Topics on which he has written articles also include: regulations affecting mortgage-backed securities, underwriting municipal bonds, soft dollar regulation, and proxy communications.
Mr. Pittman began his career at the SEC and served on its Executive Staff as well as assistant/deputy chief counsel for the Division of Trading and Markets. In addition to practicing law, he has been: an entrepreneur, CEO and president of a mutual fund group, and independent chairman of a mutual fund group (where he was a finalist for Director of the Year), and lead independent director of a printing company. Prior to attending law school, he was an economics assistant at the CFTC.
University of Florida, B.A., 1979
University of Florida Levin College of Law, J.D., 1984, Executive Editor of the University of Florida Law Review
Georgetown University Law Center, LL.M., 1988
District of Columbia