Mark Fitterman

Mark D. Fitterman

Senior Counsel
Baker & McKenzie LLP

Biography

Mark is a Senior Counsel in Baker and McKenzie's North American Financial Regulation and Enforcement Practice, which provides clients with a full range of regulatory and compliance advice and enforcement counseling.

Previously, Mark has served as a Partner in another international law firm and as an Associate Director in the Securities and Exchange Commission's Division of Trading and Markets (formerly Market Regulation) and Office of Compliance Inspections and Examinations, where he was responsible for the inspection and oversight of the nation's stock and options markets and for nationwide coordination of the SEC's broker-dealer and transfer agent examination programs.

Practice Focus

Mark has more than 40 years of experience in financial service industry regulatory, compliance and enforcement matters. He advises a wide variety of clients covering the full gamut of the securities industry, including broker-dealers, exchanges, alternative trading systems, transfer agents and clearing agencies. Mark's regulatory and compliance practice includes counseling clients on financial responsibility rule compliance, margin, trading and execution issues, the development of new products, and federal and state licensing issues. He also counsels clients on best execution and market structure issues, trading interpretive issues, "no action" requests, and collateral consequences of enforcement actions.

Professional Honors

  • Recipient, Presidential Rank Award--Distinguished Executive
  • Recipient, SEC’s Distinguished Service Award

Admissions

  • District of Columbia~United States (1975)
  • U.S. Court of Appeals, D.C. Circuit~United States (1975)
  • Ohio~United States (1974)

Education

  • Georgetown University Law Center (JD) (1974)
  • Wright State University (MBA) (1971)
  • Oberlin College (AB cum laude) (1964)

Languages

  • English