FacultyFaculty/Author Profile
Barbara A. Stettner

Barbara A. Stettner

Allen & Overy LLP

Washington, DC, USA


Barbara is the managing partner of the Washington, D.C. office. Barbara's practice focuses on advising U.S. and foreign financial institutions on their regulatory and compliance obligations under the Securities Exchange Act of 1934, the Investment Advisers Act of 1940 and the Bank Secrecy Act. Barbara represents foreign and domestic banks, asset managers and broker-dealers on various regulatory aspects of Dodd-Frank, including Volcker and those provisions involving municipal advisors, investment advisers, and securities-based swap dealers. Barbara's practice also focuses on the regulatory obligations of domestic and cross-border fund raising activities including broker-dealer, finder and placement agent status questions, sales practice requirements and the federal and state pay-to-play, ethics and lobbying regulations.

Before entering private practice, she worked at the SEC’s Division of Market Regulation (now Trading and Markets), where she served as Special Counsel in the Office of the Chief Counsel and as an Attorney-Advisor in the Office of Risk Management and Control. She also served as Senior Counsel in the Commission’s Office of International Affairs. Prior to joining the firm, Barbara practiced at prominent law firms in Washington, D.C. and London. As part of the Financial Services Volunteer Corp, she regularly provides pro bono technical assistance to emerging markets on the regulatory and supervisory systems of markets and market intermediaries, including Jordan, the UAE, Russia, and Romania.

Barbara is widely recognized as a leading regulatory lawyer by Chambers USA and Legal 500. Chambers has recognized her for both Securities: Regulation: Advisory and Financial Services Regulation: Broker Dealer (Compliance). Chambers USA 2017 notes that she "receives accolades for the reasoned advice that she provides to broker-dealers and other financial institutions relating to regulatory compliance. A client enthuses that 'she has a very good knowledge of the law' and is 'one of the best to get in that area to answer your questions.'"

Barbara A. Stettner is associated with the following items:
Web Segment  Web Segment Alternative Global Investment Vehicles and Derivatives Regulation - Global Capital Markets & the U.S. Securities Laws 2017, Thursday, April 20, 2017
FinTech: Crowdfunding - FinTech 2017, Thursday, August 17, 2017
MP3 Audio  MP3 Audio Alternative Global Investment Vehicles and Derivatives Regulation - Alternative Global Investment Vehicles and Derivatives Regulation, Thursday, April 20, 2017
FinTech: Crowdfunding - FinTech: Crowdfunding, Thursday, August 17, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Alternative Global Investment Vehicles and Derivatives Regulation - Alternative Global Investment Vehicles and Derivatives Regulation, Thursday, April 20, 2017
FinTech: Crowdfunding - FinTech: Crowdfunding, Thursday, August 17, 2017
On-Demand Web Programs  On-Demand Web Programs Global Capital Markets & the U.S. Securities Laws 2017, Tuesday, April 25, 2017, New York, NY
FinTech 2017, Wednesday, August 23, 2017, New York, NY
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