Skip to Main Content

David Y. Dickstein

New York Office

David Dickstein represents broker-dealers, investment advisers, investment companies and hedge funds in connection with a variety of regulatory, compliance and operational matters. David regularly counsels investment advisers on registration and regulatory matters, such as the need for registration, conflict of interest disclosures, soft dollars and best execution, firm advertising and marketing, federal and state pay-to-play matters, trade allocations and personal trading. He also advises broker-dealers on registration and ongoing compliance matters, mutual fund supermarkets on mutual fund distribution issues and brokerage and advisory firms on structuring and offering wrap fee programs and other financial products. In addition, David provides assistance in responding to Securities and Exchange Commission (SEC) investigations and examinations and in conducting compliance audits and regulatory reviews.

Shown below is a selection of David’s engagements.


Legal 500, 2013
April 8, 2014
Speaker | Implementing Effective Controls and Preparing for a Regulatory Exam | Goldman Sachs Prime Services Hedge Fund Learning Series
October 27, 2011
The Fine Art of Meeting the Best Execution Burden of Proof | NRS 26th Annual Fall Compliance Conference
June 14, 2011
Pay to Play 2011: Practical Guidance for Investment Advisory Compliance and Legal Professionals | Celesq
January 13, 2009
Mastering the Investment Advisers Act of 1940 Sections 201-205 | NRS CCP Webinar
November 11, 2008
Mastering the Investment Advisers Act of 1940 Sections 201-205 | NRS CCP Webinar
TD Waterhouse's Regional Investment Adviser Conference
Investment Advisers Act from A to Z | Glasser LegalWorks
David Y. Dickstein


  • JD, Columbia Law School
    Harlan Fiske Stone Scholar
  • BA, Yeshiva University, magna cum laude

Bar Admissions

  • New York


Previous Next
Katten Websites   Careers  |  Alumni  |  Mobile Site
Contact Us   Offices  |  Media Center  |  People  |  Email
Legal Notices   Disclaimer  |  Privacy Policy  |  United Kingdom Notices  |  Attorney Advertising