Matthew R. Silver works closely with investment management clients on broker-dealer and investment adviser regulation as well as private fund managers. He has experience counseling his clients on contractual drafting and negotiation issues; dealing directly with regulators including FINRA, the SEC, the NFA and the CFTC; advising on CFTC/NFA futures/swap issues; drafting the formation, operating and disclosure documentation for private funds; and negotiating ISDA swap documentation.
Matthew has worked on the M&A transactions of investment advisers and brokers, including negotiation, due diligence and documentation, handled finance-related transactions, and worked on the design, drafting and implementation of regulated entity compliance programs.
Matthew is a contributor to the firm's SEC Law Perspectives Blog, which provides reports, discussions, and analyses on noteworthy trends in enforcement and regulatory activity of the U.S. Securities and Exchange Commission (SEC) and other agencies, such as the U.S. Commodity Futures Trading Commission (CFTC).
- Guide clients through FINRA Continuing Membership Application (NASD Rule 1017) process with regard to membership expansions, changes of control and other matters, as well as formal FINRA “Materiality Consultation” reviews.
- Formation of private funds (domestic and international) and all offering and related material to “launch”; review, update compliance and business related materials, counsel private funds and related enterprises already in operation.
- Formation and registration of SEC and state-registered investment advisers as well as exempt reporting advisers; review, update compliance and business related materials, counsel advisers and related enterprises already in operation.
- Formation of de-novo FINRA member brokers.
- Counsel and advise investment management clients involved in regulatory inspections or inquiries (regular or “for cause”) or that anticipate the possibility of an inspection or inquiries; assist in the response to regulators post inspection/inquiry.
- General compliance policy and procedure development and testing.
- Interpretive advice regarding SEC, FINRA, CFTC, NFA and stock exchange existing and proposed rules.
- New York
- New York University School of Law, J.D., 2000
- New York University College of Arts and Science, B.A., 1997, cum laude
- U.S. District Court, Eastern District of Pennsylvania
- U.S. Department of Veterans Affairs