Roland J. Lindmayer

Roland J. Lindmayer is an associate in Dechert’s financial services group. Mr. Lindmayer brings with him over four years of SEC experience. At Dechert LLP, Mr. Lindmayer focuses his practice primarily on advising broker-dealers and investment advisers on compliance with the federal securities laws and regulations, as well as the rules of self-regulatory organizations (SROs), including FINRA. He routinely helps broker-dealers with registering with the SEC, becoming members of FINRA, and obtaining approval to implement changes in business and changes in ownership. In addition, he advises investment funds and investment companies on a wide range of regulatory matters.

Mr. Lindmayer previously served as Special Counsel with the U.S. Securities and Exchange Commission’s Division of Trading and Markets, where he focused on Securities Exchange Act rulemaking and guidance related to various trading practices matters affecting broker-dealers and investment advisers. He was a primary drafter for several short selling and securities lending rules, for which he was awarded the Effective Regulation Award in 2024.