FacultyFaculty/Author Profile
Jerome J. Roche

Jerome J. Roche

Mayer Brown LLP

Washington, DC, USA


Jerome Roche is a Financial Services Regulatory & Enforcement partner in Mayer Brown's Washington DC office. His practice focuses primarily on cross-border financial services matters. He has extensive experience counseling clients regarding the US federal securities laws, the Commodity Exchange Act, the Commodity Futures Modernization Act, the Gramm-Leach-Bliley Act, the USA PATRIOT Act, and the Dodd-Frank Act. According to Chambers USA 2014, Jerome is considered by clients to be "a very strong counselor who brings a highly pragmatic approach to complex issues" and is "very knowledgeable about pretty much all aspects of broker-dealer regulations." His "ability to cut right to the heart of an issue is particularly well regarded by commentators, as is his cross-border expertise." Jerome has been selected by his peers for inclusion in The Best Lawyers in America in the practice area of Banking and Finance Law since 2013. He also has a Martindale-Hubbell peer review rating of AV-Preeminent.

Experience

  • Addressing regulatory status questions for US and non-US financial institutions effecting transactions in, and providing advice with respect to, securities, commodities, foreign currency and derivatives;
  • Drafting and implementing supervisory and compliance policies and procedures for regulated financial institutions;
  • Counseling customers and other counterparties of US broker-dealers regarding customer protection rules, broker-dealer insolvencies, and the Securities Investor Protection Act;
  • Seeking required approvals for mergers, acquisitions and restructurings of regulated financial institutions; and
  • Guiding financial institutions and trade associations in complying with, and commenting on, rule-making efforts of the Securities and Exchange Commission, the Commodity Futures Trading Commission, Financial Industry Regulatory Authority, the National Futures Association, and other self-regulatory organizations.

Education

  • Purdue University, BS
  • The University of Michigan Law School, JD

Admissions

  • Illinois
  • District of Columbia

Activities

  • National Hispanic Bar Association
Jerome J. Roche is associated with the following items:
Treatise Chapters  Treatise Chapters FINRA Investigations - Securities Investigations: Internal, Civil and Criminal (2nd Edition), Wednesday, August 23, 2017
The Volcker Rule - Broker-Dealer Regulation (2nd Edition), Friday, September 22, 2017
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