Beth D. Kiesewetter

Beth D. Kiesewetter is an associate in Morgan Lewis's Investment Management and Securities Industry Practice. Ms. Kiesewetter counsels investment companies, investment advisers, and broker-dealers regarding anti-corruption, anti-money laundering, and financial privacy requirements at the federal, state, and self-regulatory organization level, which impact client relationships, distribution channels, portfolio investments, and private equity transactions within the United States and abroad.

In addition, Ms. Kiesewetter provides regulatory guidance in connection with mergers and acquisitions involving investment companies, investment advisers, broker-dealers, alternative trading systems, and exchanges. Such engagements have involved defining the scope of regulatory due diligence, drafting regulatory provisions to be incorporated in deal documents, determining whether client agreements may be assigned, filing of initial or continuing membership applications with self-regulatory organizations and exchanges, and providing ongoing regulatory guidance after closing.

Ms. Kiesewetter also often represents broker-dealers in responding to Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) examination findings, market regulation inquiries, and enforcement actions relating to registration requirements, gifts and entertainment, sales practices, advertisements and sales literature, anti-money laundering program compliance, and related supervisory issues.

Prior to entering private practice, Ms. Kiesewetter was the manager of membership of NASD Regulation, Inc. (now FINRA), with responsibility for supervising the national membership application program and the national statutory disqualification programs. Ms. Kiesewetter also served as a regional broker-dealer liaison in the SEC's Office of Compliance Inspections and Examinations, with responsibility for managing the broker-dealer examination programs of several SEC Regional and District Offices and participating in exchange inspections. Before that, Ms. Kiesewetter was an examiner in the SEC's San Francisco District Office, with responsibility for conducting examinations of broker-dealers and investment advisers.

Good to know

Areas of Practice 1) Investment Management, 2) Securities Industry, 3) Broker-Dealers, 4) Financial Services, 5) FCPA/Anticorruption, 6) Commodities, 7) Futures, 8) Foreign Exchange, 9) & Energy Trading, 10) Securities Regulation and 11) Private Offerings
Law School American University, Washington College of Law
Education California State University, Sacramento (B.S., 1994)
Bar Member / Association State Bar Of District of Columbia , State Bar Of New York
Most recent firm Morgan, Lewis & Bockius LLP
Relevant Jobs
Associate Position - Litigation of Trust and Estate Matters
USA-DC-Washington

Busy litigation law firm is seeking an experienced associate to join its busy trust and estates litigation practice.  Interested candidates should have at least 3 years of experience in the litigatio...

Apply now

Civil Litigation Associate Position
USA-DC-Washington

Busy law firm is seeking a civil litigation associate to join its practice.  Interested candidates should have 1 – 3 years of private law firm experience in deposition, discovery and motions practi...

Apply now

Fall Law/graduate Student Internship
USA-DC-Washington

Fall Law/graduate Student Internship Intern will provide research support to company policy analysts and attorneys in one of company’s priority areas: immigration reform, economic justice, workers...

Apply now

+ View more jobs
Alan Singer
Alan Singer

Alan Singer is a partner in Morgan Lewis's Securities Practice. Mr. Singer advises companies with regard to a diverse range of corporate and securities matters.

Andrew Hamilton
Andrew Hamilton

Andrew Hamilton is a partner in Morgan Lewis's Business and Finance Practice. Mr. Hamilton practices in the areas of mergers and acquisitions, private equity and venture capital, securities law, and general corporate counseling.

Barbara J. Shander
Barbara J. Shander

Ms. Shander advises public and private company clients as well as private equity funds, with an emphasis on mergers and acquisitions, dispositions, and financing transactions.