Edward J. Johnsen, Partner

Edward Johnsen is a partner in the firm’s financial services practice group who concentrates on regulatory matters relating to broker-dealers and other financial institutions.

Mr. Johnsen has significant experience counseling clients on selling and trading securities and derivatives, risk arbitrage and proprietary trading, algorithmic and program trading, structured products, equity capital markets, and international and emerging market securities sales and trading. He has written supervisory procedures and compliance manuals for domestic and foreign broker-dealers, banks and hedge funds, including procedures for securities sales and trading, international trading, over-the-counter market making (stocks and options), equity derivatives sales and trading, program trading, handling of sensitive and non-public information, and soft dollars.

Mr. Johnsen has experience handling SEC, NYSE, NASD, and other regulatory examinations, working with compliance departments in the development of compliance programs, codes of conduct, information barriers and automated surveillance systems, and providing compliance training for broker-dealer personnel. He has worked closely with broker-dealers, banks and hedge funds in responding to new and existing regulatory requirements relating to short sales, securities delivery and regulatory reporting, and regularly advises clients with respect to sales of restricted and control securities, and the Securities and Exchange Commission’s reporting requirements for institutional investment managers, corporate insiders, and holders of large positions.

Mr. Johnsen previously served as Director and Head of Equities Compliance at Deutsche Bank Securities Inc., as Vice President and Associate General Counsel at J.P. Morgan Inc., and as Vice President and Counsel at Morgan Stanley & Co. Inc.

Activities

Mr. Johnsen is a member of the American Bar Association, its Business Law Section, Federal Regulation of Securities Committee, Trading and Markets Subcommittee, and Back to Business Law Advisory Board; a member of the New York State Bar Association, its Business Law Section, Securities Regulation Committee, and Derivatives and Structured Products Law Committees; and the Nassau County Bar Association, its Ethics Committee, and its Corporation, Banking & Securities Law Committees. He is a former chairman of the Nasdaq Market Operations Review Committee, and of the NASD Regulation Inc. (now FINRA) Market Regulation Committee. He also has been a member of the NASD Regulation Inc. Advisory Council, the Nasdaq Trading Rules Subcommittee, and the Securities Traders Association Compliance Subcommittee.

In addition, Mr. Johnsen is a member United States Council for International Business Banking Committee, and he serves on the Hofstra University College of Liberal Arts and Sciences Dean’s Advisory Board, and the Hofstra University College of Liberal Arts and Sciences Development Sub-Committee.

Education

Speeches and Publications

Mr. Johnsen has spoken at industry and SRO-organized symposia on securities regulatory matters, and has been quoted in Dow Jones MarketWatch, Bloomberg News, On Wall Street, The London Daily Mail, Inside Counsel, Securities Technology Monitor, The Compliance Reporter, Traders Magazine, Futures Magazine, and Wall Street Letter.

His speaking engagements include: "Public Policy and Regulatory Reform: The Dollars and Sense of Dodd-Frank," a KPMG/Hofstra University program scheduled for February 2, 2012; "Financial Regulatory Reform...The ABCs for CPAs," American Institute of Certified Public Accountants Webcast in August 2010; “The New Exchange Circuit Breaker: The SEC’s Plan to Protect Markets,” a Webinar presented in partnership with West LegalEdcenter, July 14, 2010; "Changes to FINRA Trade Reporting Rules: Getting Ready for the New Regime," West LegalWorks Webcast, August 12, 2009; “The SEC’s Reaction to the Credit Crisis: Overview and Analysis,” West LegalWorks Webcast, August 12, 2008; and “Broker-Dealer Registration: A Guide to SEC Updates,” West LegalWorks Webcast, June 24, 2008.

Mr. Johnsen’s publications include: "Dodd-Frank's hidden whistleblower tax," The Deal Magazine (January 26, 2011) (co-author); "SEC Proposed Rule 21F-13: A Hidden Whistleblower Tax?" The Corporate Counselor (January 2011) (co-author); “Commentary: To be (uniform) or not to be (uniform) — that is the question,” Traders Magazine, August 11, 2010 (co-author); "Get Ready for Large Trader Reporting," Compliance Reporter (August 9, 2010); “Reassessing Short Sales in a Down Market — If Price Restriction is Needed, What About the Bid Rule?” MarketWatch, December 19, 2008; “Southern District on Beneficial Ownership, Equity Swaps,” The New York Law Journal, July 23, 2008; and “Short Sale Regulation: A Summer of Change,” The New York Law Journal, September 17, 2007.