FacultyFaculty/Author Profile

Richard Marshall

Ropes & Gray LLP

New York, NY, USA


Richard D. Marshall has conducted compliance reviews of investment companies, investment advisers, and broker-dealers; represented individuals and regulated entities in investigations by the Securities and Exchange Commission and self-regulatory organizations; created hedge funds; and provided advice and sought no-action relief for investment companies, investment advisers, and broker-dealers. Before joining the firm, Mr. Marshall had been Senior Associate Regional Administrator in the New York office of the Securities and Exchange Commission. In that position, Mr. Marshall supervised a staff of seventy that conducted inspections of investment companies and advisers in the New York region and oversaw enforcement matters related to those entities. Mr. Marshall has also been a branch chief in the Division of Enforcement of the Securities and Exchange Commission in Washington, D.C. He speaks and writes regularly on topics related to the federal securities laws and is the editor of The Investment Lawyer, a legal publication devoted to issues related to money management.
Richard Marshall is associated with the following items:
Answer Book Chapters  Answer Book Chapters Investigations and Inspections of Regulated Entities - SEC Compliance and Enforcement Answer Book (2017 Edition), Friday, June 09, 2017
Treatise Chapters  Treatise Chapters SEC and FINRA Enforcement - Broker-Dealer Regulation (Second Edition), Friday, September 22, 2017
Conducting an Investment Company/Adviser Compliance Review; and Appendices 24A-24B - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law, Tuesday, October 24, 2017
Conducting an Investment Company/Adviser Compliance Review; and Appendices 27A-27B - Mutual Funds and Exchange Traded Funds Regulation, Tuesday, November 14, 2017
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