Marlon Paz to Keynote Growth Capital Summit, Nov. 18 at National Press Club, Washington, D.C.

Marlon Paz, Locke Lord

Marlon Paz, Locke Lord

Marlon Paz, a partner in the Washington securities practice of Locke Lord, adjunct professor at Georgetown University Law Center, and former senior enforcement and regulatory official at the U.S. Securities and Exchange Commission, will deliver the keynote address to the Growth Capital Summit 2015 on “Capital Formation after Dodd-Frank” at noon on Nov. 18, at the National Press Club in Washington, D.C.

Paz served as Senior Counsel to the Director at the SEC from 2004 to 2010, where he played a key role in developing the SEC’s positions on many important regulatory and enforcement matters, will address the financial reform law’s impact on capital formation by growth companies, and highlight the opportunities and risks under the currently regulatory regime.

Paz is an expert on a wide range of complex securities issues in the regulatory and litigation context, internal investigations and compliance. He is a partner at Locke Lord LLP and on the faculty of Georgetown University Law Center, where he teaches courses on the U.S. regulation of financial institutions, the securities markets, and international business litigation. Paz is a Certified Fraud Examiner and frequent speaker and consultant on issues related to the regulation of broker-dealers and investment advisers.

Paz has served in senior positions with the Securities and Exchange Commission, where he played a key role in developing the SEC’s positions on many important regulatory and enforcement matters. Paz was part of the team dealing with the financial crisis and has worked on a number of regulatory measures, including fraud, anti-manipulation, credit ratings agency reform, the respective fiduciary duties of broker-dealers and investment advisers, and the regulation of short sales, hedge funds, and enhancements to capital and financial controls over broker-dealers. During his tenure at the SEC, Mr. Paz worked on over 100 enforcement matters involving complex securities issues.

Paz earned his J.D. from the University of Pennsylvania Law School, and holds an LL.M from Georgetown University Law Center, an M.A. from Wesleyan University, and a B.A. in philosophy from Trinity College.

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