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C. Dirk Peterson

Partner
+1.202.778.9324
Fax +1.202.778.9100
Mr. Peterson’s practice focuses on securities regulatory issues affecting public and private investment companies, broker-dealers, investment advisers, commercial banks, and insurance companies. Mr. Peterson advises financial institutions on the application of federal and state securities laws, as well as self-regulatory organization rules, in connection with the structuring and distribution of securities products.

Professional Background

Mr. Peterson's professional background includes:

  • Securities and Exchange Commission, Washington, D.C.
    • 1990-1995: Senior Counsel, Office of Chief Counsel
    • 1993-1995; Staff Attorney, 1990-1993.
  • International law firm, Washington, D.C., 1995-2001: Counsel

Achievements

Chairman’s Award for Excellence, Securities and Exchange Commission, 1994.

Speaking Engagements

  • Fee-Based Brokerage: What to do Next?, presentation materials from July 12, 2007 webinar, presented via webinar, by Diane E. Ambler, David Dickstein, Elaine A. Lindenmayer, C. Dirk Peterson, July 12, 2007.
  • How Do You Sell a Private Fund? Prepared for K&L's Comprehensive Overview of Hedge and Other Private Funds Seminar, May 15-16, 2001.
  • Broker-dealer, investment adviser and investment company status issues
  • Advice on, and drafting of procedures for, information barriers relevant to broker-dealers and investment advisers
  • Advice on structuring issues for public and private offerings, advisory wrap programs and bank securities activities
  • Advice on cross-border activities in connection with offshore offerings, offshore contacts with U.S. investors and foreign trading system access in the United States
  • Formation and registration of broker-dealers and investment advisers
  • Representation of broker-dealers before SROs, including new membership applications and continuing membership applications in the case of material changes of business and direct and indirect changes of management and control
  • Advice on compliance matters under the Securities Act of 1933, Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, SEC rules adopted under those Acts and SRO rules and regulations