Biography
Stephanie Senzer is a Senior Associate with Lehman & Eilen and works in the firm’s broker-dealer, investment adviser, investment partnership and commercial transaction practice areas. Stephanie has been associated with the firm since its founding in 1994 and has broad experience in financial services regulation.
In the broker-dealer area, Stephanie advises clients on regulatory, business and compliance issues, assisting with all aspects of formation, reorganization and business modifications, including FINRA membership and continuing membership applications, foreign broker-dealer exemption issues, development and drafting of supervisory and compliance policies and procedures, as well as sales, trading, back-office and operational issues. She also represents broker-dealers that are subject to SEC, FINRA and state regulatory examinations and obtains formal and informal interpretations from regulatory authorities and SRO staff.
Stephanie also represents registered and unregistered investment managers, providing counsel on regulatory and compliance matters, including all aspects of SEC and state registration (and exemptions from registration), and conflict of interest, custody, trading and operational matters, as well as preparation of compliance policies and procedures and codes of ethics. Stephanie also assists investment management clients in acquisitions, corporate reorganizations and mergers, responds to SEC and state inquiries and examinations and regularly consults with federal and state regulators on matters of interpretive guidance.
Stephanie also advises closely-held corporations, limited liability companies and limited partnerships on general corporate and business law matters and provides transactional assistance in various corporate and commercial transactions.