Madelyn Calabrese provides advice primarily to broker-dealers and registered and unregistered investment advisers on a broad range of registration, regulatory, compliance and inspection/enforcement matters.
Investment Managers. Ms. Calabrese counsels on the registration of advisers at federal and state levels and preparation of all documents, including Form ADV, investment advisory contracts and policies and procedures; prepares compliance policies and procedures manuals; handles specific compliance issues and compliance control reviews; conducts pre-SEC examination inspections of registered investment advisers; conducts mock regulatory examinations, training sessions and compliance seminars; represents investment managers in regulatory examinations and enforcement proceedings; counsels on various trading issues; advises on solicitation, advertising, marketing materials and soft dollar issues; and reviews and drafts disclosures for marketing materials, websites and investor correspondence.
Broker-Dealers. Ms. Calabrese forms and licenses broker-dealers with the SEC, self-regulatory organizations and states; represents broker-dealers in all aspects of SEC and self-regulatory organization compliance and regulatory inquiries, investigations, examinations and disciplinary/enforcement proceedings; drafts and audits compliance manuals and policies and procedures; conducts mock regulatory examinations, training sessions and compliance seminars; provides counsel on various trading, blue-sky and exchange-related issues; advises on solicitation, advertising, marketing materials and soft dollar issues; reviews and drafts disclosures for marketing materials, websites and customer correspondence; and prepares and reviews solicitation, placement agent, soft-dollar, prime brokerage, consulting, employment and foreign broker agreements.
Ms. Calabrese earned a B.A. in Economics and Philosophy, Politics and Law from Binghamton University and her J.D., cum laude, from New York Law School. She is admitted to the New York State Bar.