A. Valerie Mirko is a partner in Baker McKenzie’s Financial Regulation and Enforcement Practice Group in North America. Valerie has substantial experience in federal and state securities laws and regulations affecting the financial services industry, with a focus on the investment adviser and brokerage industries. Valerie has a background in both regulatory advice and enforcement counseling. Immediately prior to joining the Firm, Valerie was General Counsel of the North American Securities Administrators Association (NASAA).
As General Counsel, Valerie advised NASAA’s Board of Directors on developments in the federal securities laws and their impact on state securities regulations. Valerie provided advice on, among other areas, the SEC Regulation Best Interest rule set, fiduciary duty/standards of care, preemption, retail enforcement issues, investment adviser oversight, and data privacy. She also supervised all of NASAA's securities-related legal work and was a resource on multistate enforcement investigations and settlements. Valerie also provided governance support on key NASAA Regtech projects and regulatory coordination initiatives between state and federal regulators. Valerie was a frequent speaker at regulator-only roundtables and training events.
Earlier in her career, Valerie advised broker-dealers and investment advisers on regulatory matters and enforcement investigations as an associate at a Washington law firm and held legal and compliance roles at Oppenheimer & Co., Inc., and Merrill Lynch (now BofA Securities). Valerie is currently a member of the adjunct faculty at the George Washington University Law School and a subcommittee chair within the DC Bar Corporation, Finance, and Securities Law Community.
Valerie’s practice includes a wide range of regulatory, compliance, examinations and enforcement matters. Valerie is a leading practitioner in the SEC Regulation Best Interest rule set as well as standards of care regulations at the state level and can assist both broker-dealer and investment adviser clients with regard to regulatory risk, compliance programs, and implementation.
Valerie regularly advises broker-dealers and investment advisers regarding federal and state securities laws and regulations, including FINRA rules, and counsels clients during all aspects of broker-dealer and investment adviser regulatory examinations and enforcement investigations.
- District of Columbia~United States (2009)
- New York~United States (2006)
- George Washington University Law School (J.D.) (2005)
- Wellesley College (B.A. Political Science (Honors Thesis) and Economics, cum laude) (1998)
- Speaker, Financial Services Institute OneVoice 2020, Regulation Best Interest Workshop, January 2020
- Moderator, Financial Services Institute OneVoice 2020, Supervision: Position and Sector Concentration, January 2020
- Panelist, Ladenburg Advise2020, Regulatory Update Panel, January 2020
- Panelist, Baker McKenzie SEC Regulatory and Enforcement Trends Roundtable, January 2020
- Moderator, National Compliance Society of Compliance Professionals, Webinar: Impact of Current State Regulatory Initiatives, December 2019
- Panelist, Baker McKenzie Digital Advice Roundtable, November 2019
- Panelist, PLI Broker/Dealer Regulation and Enforcement 2019, State Enforcement Initiatives, Developments and Priorities, October 2019
- Speaker/Interviewee, Institute for Portfolio Alternatives Alts Edge Workshop, Fireside Chat on SEC Investment Adviser Compliance Issues, June 2019
- Panelist, DC Bar Corporations, Finance and Securities Law, Senior Issues in Financial Services Regulation, May 2019
- Panelist, NRS Compliance Conference, SEC/FINRA/NASAA Regulatory Panel, April 2019
- Panelist, IA Watch The Full 360 View East, Strategies for Serving Senior Clients as SEC OCIE Focus Intensifies, April 2019