Carl F. Emigholz advises major financial institutions and securities market participants on securities and derivatives regulatory and enforcement matters.

Most recently, he served as Counsel to the Director of the Division of Trading and Markets at the U.S. Securities and Exchange Commission. At the SEC, Carl advised the Director and other senior officers, and worked closely with the offices of the Chair and Commissioners, on a wide range of regulatory issues, including equity market structure reform, Dodd-Frank Act implementation, the Volcker Rule, Regulation SHO, broker-dealer registration and sales practices, and self-regulatory organization oversight.

Between 2012 and 2014, he served as Special Counsel in the Division of Trading and Markets’ Office of Chief Counsel, advising the Division of Enforcement on investigations into violations of the statutes and rules governing broker-dealers, exchanges, alternative trading systems, and securities trading activities.

Carl joined the firm in 2006, left to join the SEC in 2012 and then returned to the firm in 2016.

Selected Activities

Articles Editor, Rutgers Law Review, Rutgers University School of Law – Newark

Publications