Sullivan
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Biography

Past Events

FINRA’s Small-Cap Sweep: Strategic Steps for Broker-Dealers
When: December 2, 2025
People: David E. Danovitch, Michael T. Dyson, Meghan Rohan, Christopher K. Shields and Erika J. Dennery
FINRA Launches Targeted Review of Small-Cap Foreign Offerings
When: October 24, 2025
People: David E. Danovitch, Michael T. Dyson, Meghan Rohan and Erika J. Dennery
“What? I’m a Dealer?”: New SEC Definitional Rules Add to the Confusion
When: February 27, 2024
People: Meghan Rohan, Michael T. Dyson and John Hunt
The SEC’s Stacked Deck Is News to Unsuspecting 'Dealers'
When: April 3, 2023
People: Meghan Rohan
SEC’s Proposed Changes to Regulation S-P Would Overhaul Records and Information Requirements of Covered Institutions
When: March 20, 2023
People: Michael T. Dyson, Meghan Rohan and David E. Danovitch