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Richard B. Levin

Richard Levin’s practice focuses on the representation of early stage and publicly traded companies in the financial services industry, including broker-dealers, alternative trading systems (ATSs) and exchanges.

Mr. Levin has served in senior legal, business and compliance positions in publicly traded and privately held financial services firms. Most recently, he served as the Global Head of Product Development for Compliance and Operations for the largest German investment bank. Mr. Levin has also played a leadership role in the launch of several joint ventures of leading investment banks, including serving as the General Counsel, Chief Compliance Officer and Secretary to the board of directors of EquiLend, a U.S. agency-broker and the firm’s UK multi-lateral trading facility (MTF), EquiLend Europe and BIDS Trading, a U.S. ATS. Mr. Levin began his career on Wall Street by serving as the General Counsel of one of the original Electronic Communications Networks, and as Assistant General Counsel and Regulatory Affairs Officer for Knight Capital Group, the leading Nasdaq market maker.

Mr. Levin represented these companies before U.S. and foreign securities regulators, including the U.S. Securities and Exchange Commission (SEC), the Financial Industry and Regulatory Authority (FINRA), the U.K. Financial Services Authority (FSA), the Japanese Financial Services Agency, the Ontario Securities Commission (OSC) and the Hong Kong Stock Exchange. Mr. Levin has substantial experience with the regulation of broker-dealers, ATSs and MTFs in North America, Europe, Asia and Australia. He has also represented clients before the U.S. Senate and the U.S. House of Representatives and has managed a political action committee for a leading Wall Street firm.

As part of his representation of these firms, Mr. Levin has advised the boards of directors and management on general corporate, securities, mergers and acquisitions and intellectual property matters in the U.S. and abroad.

Mr. Levin is a member of the Entrepreneurship Initiative Advisory Board of the Silicon Flatirons Center for Law, Technology, and Entrepreneurship of the University of Colorado. The Advisory Board consists of respected venture capitalists, successful entrepreneurs, top executives at established companies and attorneys that represent early stage companies.

In addition, Mr. Levin is a member of the Securities Industry Financial Markets Association’s Legal and Compliance Division and the American Bar Association. He has been a speaker at conferences on regulatory and market structure issues.

While in law school, Mr. Levin served as the Managing Editor of the Denver University Law Review and was an active member of the Denver University moot court and appellate advocacy teams.