FacultyFaculty/Author Profile

Maurine R. Bartlett

Cadwalader Wickersham & Taft LLP

New York, NY, USA

Maurine Bartlett is a member of the Financial Services Group in the New York City office of Cadwalader, Wickersham & Taft LLP, who specializes in securities regulatory issues.  Ms. Bartlett was a Cadwalader Partner for many years and is currently a Senior Counsel. She provides ongoing regulatory guidance to major broker-dealers, derivatives dealers, hedge funds and investment advisers, has experience drafting policies and procedures to facilitate compliance with applicable regulatory requirements and assists with transaction documentation and securities offerings.  She addresses issues arising under all of the federal securities laws and regulations, including the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940 and the Investment Advisers Act of 1940, as well as under FINRA and MSRB rules. As part of her practice, Ms. Bartlett has assisted clients in connection with various enforcement proceedings, internal compliance reviews and applications to the Federal Reserve Board. She also has provided expert witness services in connection with broker-dealer arbitrations involving the margin rules and provided assistance with respect to the formation of SEC-registered broker-dealers and investment advisers.

Ms. Bartlett has given compliance presentations for a number of broker-dealers and has participated in numerous Sifma, BMA, PLI and other panels.  She is ranked as a "leading lawyer" in Chambers USA: America's Leading Lawyers for Business and has been recommended by Legal 500. She has co-authored a chapter on asset-backed securities for The Handbook of Asset-Backed Securities, as well as a chapter of the Regulation of the Commodities Futures and Options Markets treatise, and is the author of a chapter on the Glass-Steagall Act and Regulation D in The Securitization of Financial Assets

Ms. Bartlett earned her bachelor's degree with high distinction at the University of Michigan, where she was a member of Phi Beta Kappa. A magna cum laude graduate of Georgetown University Law Center, she was an Editor of the Georgetown Law Journal and served as Co-Chairman of The Barristers' Council.  Prior to law school, Ms. Bartlett worked as a legislative assistant to Congressman Philip Ruppe (R-Mich).


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