Glen Barrentine Edit

Education

 View all 21 references Web References

1. 1. NSCP 2007 Meetings: National

   nscpmeetings.com/2007/nat.html - [Cached]

   Published on: 9/25/2007   Last Visited: 2/20/2008

   Glen P. Barrentine, Cadwalader, Wickersham & Taft LLP

2. 2. Attorney - Glen P. Barrentine

   www.cwt.com/view_attorney.php? - [Cached]

   Published on: 6/21/2006   Last Visited: 4/25/2008

   Glen Barrentine
   ...
   Glen P. Barrentine
   
   Special Counsel - New York
   
   glen.barrentine@cwt.com
   
   212 504 6833
   ...
   Glen P. Barrentine, Thomas A. Kuczajda
   ...
   Glen P. Barrentine
   
   Glen Barrentine's practice focuses on legal and regulatory matters affecting broker,dealers, investment advisers, and other financial entities. Areas of particular focus include compliance and supervisory issues and the preparation and implementation of policies and procedures. Significant ongoing client representations include prime brokerage firms and specialists. Mr. Barrentine frequently advises on regulatory inspections, examinations and inquiries, internal investigations and compliance reviews.
   
   Chambers USA ranks Mr. Barrentine in its first band for Financial Services Regulation: Broker Dealer, noting that he "possesses a potent cocktail of experience."
   
   Mr. Barrentine was formerly the Chief Regulatory Officer of the American Stock Exchange. While at the Amex, he supervised its enforcement, options, and equities surveillance and other regulatory programs. He also managed the Exchange's response to multiple SEC inspections and undertook a comprehensive review of its existing regulatory program, resulting in significant changes to its structure, procedures, and surveillance routines.
   
   Before joining the Amex, Mr. Barrentine was an Assistant General Counsel with Bank of America, where he was the principal attorney for compliance and regulatory issues affecting the bank's institutional brokerage firm, Banc of America Securities. Mr. Barrentine also supported several business units within Banc of America Securities, including Clearing, Prime Brokerage, and Private Client Services.
   
   He also previously served at the U.S. Securities and Exchange Commission as an Assistant Director with the Commission's Office of Compliance Inspections and Examinations, and before that with the Division of Market Regulation. He participated in the Division of Market Regulation's administration of the net capital, customer protection, and other financial responsibility rules and the review and approval of new and amended SRO rules.
   
   Mr. Barrentine is a frequent speaker at industry seminars and has been a panelist at NSCP's last two national meetings. He is the recent author of "Reducing and Avoiding Pitfalls Through a More Effective Compliance Program," NSCP Currents, January/February (2008).
   
   Mr. Barrentine earned his J.D., magna cum laude, from Boston University School of Law and his B.A. from St. John's College in New Mexico.
   
   He is admitted to practice in Massachusetts and New York.

3. 3. Attorney - Glen P. Barrentine

   www.cadwalader.com/view_attorn - [Cached]

   Published on: 6/21/2006   Last Visited: 5/4/2008

   Glen Barrentine
   ...
   Glen P. Barrentine
   
   Special Counsel - New York
   
   glen.barrentine@cwt.com
   
   212 504 6833
   ...
   Glen P. Barrentine, Thomas A. Kuczajda
   ...
   Glen P. Barrentine
   
   Glen Barrentine's practice focuses on legal and regulatory matters affecting broker,dealers, investment advisers, and other financial entities. Areas of particular focus include compliance and supervisory issues and the preparation and implementation of policies and procedures. Significant ongoing client representations include prime brokerage firms and specialists. Mr. Barrentine frequently advises on regulatory inspections, examinations and inquiries, internal investigations and compliance reviews.
   
   Chambers USA ranks Mr. Barrentine in its first band for Financial Services Regulation: Broker Dealer, noting that he "possesses a potent cocktail of experience."
   
   Mr. Barrentine was formerly the Chief Regulatory Officer of the American Stock Exchange. While at the Amex, he supervised its enforcement, options, and equities surveillance and other regulatory programs. He also managed the Exchange's response to multiple SEC inspections and undertook a comprehensive review of its existing regulatory program, resulting in significant changes to its structure, procedures, and surveillance routines.
   
   Before joining the Amex, Mr. Barrentine was an Assistant General Counsel with Bank of America, where he was the principal attorney for compliance and regulatory issues affecting the bank's institutional brokerage firm, Banc of America Securities. Mr. Barrentine also supported several business units within Banc of America Securities, including Clearing, Prime Brokerage, and Private Client Services.
   
   He also previously served at the U.S. Securities and Exchange Commission as an Assistant Director with the Commission's Office of Compliance Inspections and Examinations, and before that with the Division of Market Regulation. He participated in the Division of Market Regulation's administration of the net capital, customer protection, and other financial responsibility rules and the review and approval of new and amended SRO rules.
   
   Mr. Barrentine is a frequent speaker at industry seminars and has been a panelist at NSCP's last two national meetings. He is the recent author of "Reducing and Avoiding Pitfalls Through a More Effective Compliance Program," NSCP Currents, January/February (2008).
   
   Mr. Barrentine earned his J.D., magna cum laude, from Boston University School of Law and his B.A. from St. John's College in New Mexico.
   
   He is admitted to practice in Massachusetts and New York.