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David G. Adams

Member

[email protected]

+1.202.434.7350

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David partners with innovators around the world to help them capitalize on emerging US legal and regulatory trends at the intersection of financial technology and US financial regulation. He is a seasoned regulatory and enforcement attorney with 20 years of experience in the financial services industry.

David has significant experience providing legal and strategic advice on the establishment and maintenance of US and cross-border brokerage, investment advisory, and crypto asset operations. This work includes devising optimal US and cross-border operational structures, implementing required procedures, and creating and negotiating placement, finders, 15a-6, and other distribution agreements; investment advisory, soft dollar, and related arrangements; and crypto asset platform agreements, trading agreements, and custody agreements. David also represents broker-dealers and investment advisers in acquisitions, restructurings, and expansions, frequently providing guidance on investment adviser changes in control and broker-dealer Materiality Consultations, Continuing Membership Applications, and New Member Applications.

As a go-to advisor on regulatory matters impacting the industry, David counsels broker-dealers, investment advisers, and other financial institutions on questions involving SEC and Financial Industry Regulatory Authority (FINRA) regulations and related state laws. This includes helping clients comply with rules involving individual registration and licensing, marketing and advertising, and supervision. He also has extensive knowledge of regulatory issues affecting trading — such as best execution, short sales, and trade reporting — and sales practices, including suitability, conflicts of interest, and Regulation BI. Clients also seek David’s counsel on internal audits and investigations, mock examinations, and SEC and FINRA inquiries, investigations, and enforcement actions.

David is a recognized authority on the application of US broker-dealer and exchange/ATS frameworks to crypto asset companies. He speaks frequently on the topic and has been quoted in numerous publications, including the Wall Street Journal. He has also advised broker-dealers and advisers on the development of SEC-compliant ESG programs, policies, and procedures.

Prior to joining Mintz, David worked at two global law firms, where he advised clients on financial regulatory and enforcement issues involving traditional and crypto assets, as well as ESG considerations. Earlier, he worked at the SEC’s Division of Investment Management and in the Market Regulation & Transparency Services Department at FINRA.

viewpoints

Read about recently proposed SEC rules for conflicts of interest in the use of predictive data analytics or similar technologies by broker-dealers and investment advisers.
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Read about two new SEC rule proposals that would impact investment advisers and funds and SEC rulemakings in the works that would affect investment advisers or broker-dealers.
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News & Press

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National Law Journal spoke to Members David Adams and Jacob Hupart on the SEC’s proposed Climate Rule and the rocky future facing Scope Three, its planned requirements for public companies to disclose greenhouse emissions produced in their supply chains.
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Member David Adams was interviewed by The National Law Journal about the recent court challenge to the SEC's new rules for private funds brought by a number of different industry bodies in the US Court of Appeals for the Fifth Circuit.
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Member David Adams spoke to The National Law Journal about the recent SEC "gatekeeper" cases against fund administrators and other third parties providing services to SEC-registered advisers.
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Member David Adams spoke to The National Law Journal about the SEC's efforts to urge broker-dealers to boost their anti-money laundering programs.
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Law360 covered the arrival of Corporate Member David Adams to the firm's Washington, DC office.
WASHINGTON, D.C. – Mintz is pleased to announce that David Adams has joined the firm’s Corporate Practice as a Member in the Washington, D.C. office.
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Events & Speaking

David partners with innovators around the world to help them capitalize on emerging US legal and regulatory trends at the intersection of financial technology and US financial regulation. He is a seasoned regulatory and enforcement attorney with 20 years of experience in the financial services industry.

Recognition & Awards

  • The Legal 500 United States: Recognized for exceptional client service (2021)
  • Irving R. Kaufman Memorial Securities Law Moot Court Competition, National Championship Winner (2007)
  • Irving R. Kaufman Memorial Securities Law Moot Court Competition, Best Championship Round Oral Advocate (2007)
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David partners with innovators around the world to help them capitalize on emerging US legal and regulatory trends at the intersection of financial technology and US financial regulation. He is a seasoned regulatory and enforcement attorney with 20 years of experience in the financial services industry.

Involvement

  • Member, District of Columbia Bar Association
  • Member, New York Bar Association
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