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Paul R. DeCaprio

Paul R. DeCaprio

Associate

Wall Street Office
2 Wall Street
New York, NY 10005
decaprio@clm.com
phone: 212-238-8688
fax: 212-732-3232 download v-card

Practice Areas

Securities, Corporate

Practice Description

General corporate practice and representation with an emphasis on advising broker-dealers, alternative trading systems, hedge funds, and other financial services industry clients on securities regulatory issues and compliance with SEC and FINRA and MSRB rules. Substantial experience with sales practice and research analyst regulation, broker-dealer formation and registration, and supervisory compliance systems and procedures. Represent broker-dealers and its registered personnel in SEC and SRO investigations and enforcement matters.

Education

  • B.A., 1982 University of Richmond
  • J.D., 1992 Pace Law School (Member, Pace Law Review, 1991-1992)

Admissions

  • 1993 New York
  • 1993 Connecticut

Affiliations

The Association of the Bar of the City of New York, Securities Industry Financial Markets Association, Compliance and Legal Division

Publications Available on this website...

"SEC Emergency Orders Re Short Sales," Client Advisory, September 30, 2008

Designations

Series 7, 14, 24, and 63. Prior General Counsel and Compliance Officer with NYSE and FINRA member firms.

Select Broker-Dealer & Investment Adviser Related Matters

Research:
Assist with appropriate research report disclosures for research reports prepared in-house and by third parties. Assist with the development of procedures to monitor personal trading of research analysts, and policies related to research analyst compensation. Assist with monitoring research analysts’ interactions with investment banking department. 
Investment Banking:
Assist with determining Watch and Restricted list procedures, and payments to finders. 
Sales and Marketing:
Assist with advertising review and submissions to FINRA Advertising and general communications with the public.
Hedge Funds:
Assist hedge fund advisers regarding the preparation and maintenance of a compliance manual and code of ethics, and the preparation and maintenance of Form ADV Parts I and II.
Trading:
Assist with issues related to Regulations SHO and NMS, and trade and OATS reporting. 
Registration:
Assist with the registration of associated persons and the initiation and filing of New Membership and Continuing Membership Applications.