FacultyFaculty/Author Profile
Gail  Bernstein

Gail Bernstein

Investment Adviser Association
General Counsel
Washington, DC, USA


Gail Bernstein’s practice focuses on US financial regulatory reform and on securities and derivatives and futures law and broker-dealer and swaps regulation. She has assisted clients in connection with numerous Dodd-Frank Act rulemakings and regularly counsels clients on the implications of and compliance with the Dodd-Frank Act, with a particular focus on the Volcker Rule and derivatives regulation. She also counsels SEC and CFTC registrants and other financial organizations on a broad range of regulatory matters, including compliance with SEC, CFTC and SRO rules. She has advised firms about sales practice and trading issues, has designed comprehensive compliance policies and supervisory procedures and counseled clients during their implementation. She has also represented clients in governmental investigations and internal reviews. Ms. Bernstein has authored numerous articles on a wide range of issues under the Dodd-Frank Act and is a regular participant on panels relating to securities, swaps and the Volcker Rule.

Practice Area

Securities
-Broker-Dealer Compliance and Regulation
-Consumer Financial Protection Bureau Working Group
-Dodd-Frank Whistleblower Working Group
-Futures and Derivatives
-Futures and Derivatives Enforcement

Education

JD, cum laude, Harvard Law School, 1988

BA, cum laude, Hebrew University of Jerusalem, 1982

Bar Admissions

District of Columbia

Massachusetts

Languages

Hebrew

Clerkships

US District Court for the District of Massachusetts, 1988 - 1989

Gail Bernstein is associated with the following items:
Live Seminar  Live Seminar Fundamentals of Investment Adviser Regulation 2018, Monday, June 25, 2018, New York, NY
Live Webcast  Live Webcast Fundamentals of Investment Adviser Regulation 2018, Monday, June 25, 2018, New York, NY
PLI Grpcast-Live Web  PLI Grpcast-Live Web Fundamentals of Investment Adviser Regulation 2018, Monday, June 25, 2018, New Brunswick , NJ
Fundamentals of Investment Adviser Regulation 2018, Monday, June 25, 2018, Pittsburgh, PA
Fundamentals of Investment Adviser Regulation 2018, Monday, June 25, 2018, Mechanicsburg, PA
Fundamentals of Investment Adviser Regulation 2018, Monday, June 25, 2018, Atlanta, GA
Fundamentals of Investment Adviser Regulation 2018, Monday, June 25, 2018, Philadelphia, PA
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