John Ayanian Email & Phone Number

I advise clients on broker-dealer and securities markets regulation. I counsel US and foreign financial institutions and markets on all aspects of their US securities trading, markets, and clearing activities. These include issues arising under US Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) rules. I also counsel broker-dealers on regulatory and transactional matters. Additionally, I advise market centers on issues involving market structure issues in the equity and options markets. Representing broker-dealers, I counsel clients on US federal and state registration and compliance issues; self-regulatory organization (SRO) membership and compliance issues; and mergers and acquisitions involving broker-dealers. I also guide these clients through issues involving the trading of fixed-income securities, exchange-traded options, and exchange-traded funds; broker-dealer and investment adviser networking and compensation arrangements; and issues relating to the dissemination of securities analyst research reports. In my work with financial institutions, I advise on SEC and FINRA rules. These include sales practice, advertising, net capital and customer protection, market structure, and the publication of securities analyst research reports, as well as issues involving the use of money market and bank deposit sweep programs. Before joining McGuireWoods, I was a partner at another international law firm. Prior to that, I was a vice president and assistant general counsel with First Union Corporation (now Wells Fargo), where I worked with its broker-dealer subsidiaries. I also served as a staff attorney and Special Counsel in the SEC’s Division of Market Regulation, Office of Market Supervision, where I was responsible for the regulation of trading and markets.

Listed skills include Securities Regulation, Securities, Broker Dealer, Finra, and 7 others.