FacultyFaculty/Author Profile

Catherine Courtney Gordon

Morgan, Lewis & Bockius LLP

Washington, DC, USA


Catherine "Katy" Courtney Gordon focuses her practice on the regulation of broker-dealers and investment advisers under the federal and state securities laws and the rules of self-regulatory organizations (SROs), with a focus on fiduciary duty and the intersection of advisory and brokerage services.

Prior to rejoining Morgan Lewis in 2016, Katy served as senior counsel in the Chief Counsel’s Office and the Disclosure Review and Accounting Office of the Division of Investment Management of the US Securities and Exchange Commission, where she worked on a broad range of investment advisory matters including status and registration, disclosure, fiduciary duty, performance marketing and social media and provided guidance on regulatory examinations and enforcement actions. She also performed analysis and review of investment company filings under the Federal securities laws. She was also previously an associate at a Washington, DC law firm, where she advised broker-dealers, registered investment companies, unregistered investment vehicles, and investment advisers on federal and state securities laws and SRO rules. Katy has also worked in the market regulation, advertising regulation, and enforcement departments of NASD Regulation Inc. (now FINRA) and served as an assistant general counsel at the Municipal Securities Rulemaking Board.

Education

Catholic University of America, Columbus School of Law, 2001, J.D., Cum Laude
University of Maryland, 1990, B.A.

Admissions

District of Columbia
Maryland

SECTORS

Financial Services

SERVICES

Investment Management
Securities & Corporate Governance

REGIONS

North America
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