Elizabeth K. Derbes

Elizabeth Derbes advises broker-dealers, private funds, municipal advisors, alternative trading systems and other financial services industry clients on securities regulatory issues, with an emphasis on broker-dealer matters and compliance with SEC and FINRA rules. She has extensive experience with trading and sales practice regulation, cross-border issues, broker-dealer formation and registration, net capital and customer protection rules, and supervisory and compliance systems and procedures. She also represents broker-dealers and other clients in SEC and SRO investigations and enforcement matters.

Good to know

Areas of Practice 1) Corporate and 2) Securities Litigation
Law School University of Chicago Law School, J.D.
Admitted Year 2006
Education Harvard University, B.A.
Bar Member / Association District of Columbia Bar Association, New York State Bar Association
Most recent firm WilmerHale
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