Bar Admissions
- New York
Education
- Washington University School of Law, JD
- cum laude
- Washington University, Olin School of Business, MBA
- Tufts University, BA
- cum laude
William J. Barbera
Partner
Advises on transactional and regulatory matters impacting broker-dealers, hedge funds and other financial institutions.
Bill advises clients regarding a number of regulations applicable to securities trading and custody practices, including regulations related to alternative trading systems, short sale practices, best execution obligations, trading in new issues and the SEC’s customer protection rule.
He also advises clients on transactional matters, including mergers and acquisitions involving broker-dealers and the negotiation of trading, custody and prime brokerage agreements.
- “UK Compliance Update: FCA Rules Will Allow CSA-Style Payments for Research From 1 Aug. 2024,” Schulte Alert, July 30, 2024
- “Securities Lending Update: SEC Extends Review Period for Proposed Securities Lending Rules,” Schulte Alert, June 12, 2024; republished in The Hedge Fund Journal
- “SEC Adopts Information Security and Notification Amendments to Regulation S-P,” Schulte Alert, June 12, 2024
- “REMINDER: T+1 Settlement Cycle and Corresponding RIA Books and Records Rules Go Into Effect May 28,” Schulte Alert, May 24, 2024
- “SEC Final Rule: Reporting of Securities Loans,” AIMA Publication, February 2024
- “SEC Final Rule: Amendments to the Definition of 'Dealer,'” AIMA Publication, February 2024
-
“Hedge funds find plenty to dislike in SEC’s dealer-rule rewrite,” Risk.net, February 2024 (quoted)
- “SEC Targets Certain Proprietary Trading Firms and Private Funds With Expanded 'Dealer' Definition,” Schulte Alert, Feb. 21, 2024
- “SEC Increases Oversight for Hedge Funds, High-Speed Traders,” Wall Street Journal, Feb. 6, 2024 (quoted)
- “SEC Adopts Short Reporting Rule for Institutional Investment Managers With Global Scope,” Schulte Alert, Nov. 7, 2023
- “SEC Securities Lending Rule: Increased Transparency and the Risk of Information Leakage,” Schulte Alert, Nov. 7, 2023
- “SEC Expands FINRA Oversight of Proprietary Trading Firms,” Schulte Alert, Sept. 6, 2023
- “SEC Proposal to Redefine the Definition of 'Dealer' Would Cover Certain Private Funds and Private Fund Advisers,” Schulte Alert, May 16, 2022
- “SEC Seeks to Shorten the Standard Settlement Cycle to T+1,” Schulte Alert, Feb. 10, 2022
- “SEC Issues Guidance Regarding Fully Paid Securities Lending Collateral Arrangements,” Schulte Alert, Oct. 27, 2020
- “SEC Proposes Enhanced Regulatory Oversight for Government Securities Alternative Trading Systems,” Schulte Alert, Oct. 23, 2020
- “Broker-Dealers: B-D Guidance on Business Continuity Planning During the COVID-19 Pandemic – Considerations for an Evolving Emergency,” Schulte Alert, March 20, 2020
- “Broker-Dealers: B-Ds Receive Consolidated Audit Trail (“CAT”) Relief Due to COVID-19 Pandemic,” Schulte Alert, March 18, 2020
- “Broker-Dealers – Coronavirus Update for Broker-Dealers – BC/DR Implications and FINRA Regulatory Relief,” Schulte Alert, March 16, 2020
- “FINRA Proposes Amendments to CAB Rules,” Schulte Alert, Feb. 14, 2020
- “SEC Adopts Rules to Enhance Order Handling Information Available to Investors,” Schulte Alert, Dec. 14, 2018, co-author
- “SEC Adopts New Transparency Requirements for NMS Stock Alternative Trading Systems,” Schulte Alert, July 31, 2018, co-author; republished in Law360, Aug. 16, 2018
- “The New FINRA Registration Requirement for Algorithmic Traders: Implications for Broker-Dealers and Investment Advisers,” Schulte Alert, April 26, 2016, co-author; republished in The Hedge Fund Journal, April/May 2016
- “Short Sale Reporting Compliance,” MFA Workshop, November 2024
- “Short Sale Reporting Compliance,” MFA Workshop, October 2024
- “Dealer Definition, Short Selling and T+1,” Schulte London Investment Management Hot Topics, May 2024
- “The SEC’s Amendments to the Dealer Definition - Part II,” AIMA Webinar, March 2024
- “The SEC’s Amendments to the Dealer Definition,” AIMA Webinar, February 2024
- “Compliance Hot Button Issues,” 33rd Annual Schulte Private Capital Forum, January 2024
- “Next Steps for Investment Funds with Exposure to Silicon Valley Bank,” Schulte Webinar, March 2023
- “Regulatory Compliance and Enforcement,” Schulte 32nd Annual Private Investment Funds Seminar, January 2023
- “Broker Dealer Issues,” Schulte 30th Annual Private Investment Funds Seminar, January 2021
- “Common Brokerage and Trading Issues,” Schulte 29th Annual Private Investment Funds Seminar, New York, January 2020
- “Common Brokerage and Trading Issues,” Schulte 28th Annual Private Investment Funds Seminar, New York, January 2019
- Intern, US Attorney’s Office, Southern District of Illinois
- “UK Compliance Update: FCA Rules Will Allow CSA-Style Payments for Research From 1 Aug. 2024,” Schulte Alert, July 30, 2024
- “Securities Lending Update: SEC Extends Review Period for Proposed Securities Lending Rules,” Schulte Alert, June 12, 2024; republished in The Hedge Fund Journal
- “SEC Adopts Information Security and Notification Amendments to Regulation S-P,” Schulte Alert, June 12, 2024
- “REMINDER: T+1 Settlement Cycle and Corresponding RIA Books and Records Rules Go Into Effect May 28,” Schulte Alert, May 24, 2024
- “SEC Final Rule: Reporting of Securities Loans,” AIMA Publication, February 2024
- “SEC Final Rule: Amendments to the Definition of 'Dealer,'” AIMA Publication, February 2024
-
“Hedge funds find plenty to dislike in SEC’s dealer-rule rewrite,” Risk.net, February 2024 (quoted)
- “SEC Targets Certain Proprietary Trading Firms and Private Funds With Expanded 'Dealer' Definition,” Schulte Alert, Feb. 21, 2024
- “SEC Increases Oversight for Hedge Funds, High-Speed Traders,” Wall Street Journal, Feb. 6, 2024 (quoted)
- “SEC Adopts Short Reporting Rule for Institutional Investment Managers With Global Scope,” Schulte Alert, Nov. 7, 2023
- “SEC Securities Lending Rule: Increased Transparency and the Risk of Information Leakage,” Schulte Alert, Nov. 7, 2023
- “SEC Expands FINRA Oversight of Proprietary Trading Firms,” Schulte Alert, Sept. 6, 2023
- “SEC Proposal to Redefine the Definition of 'Dealer' Would Cover Certain Private Funds and Private Fund Advisers,” Schulte Alert, May 16, 2022
- “SEC Seeks to Shorten the Standard Settlement Cycle to T+1,” Schulte Alert, Feb. 10, 2022
- “SEC Issues Guidance Regarding Fully Paid Securities Lending Collateral Arrangements,” Schulte Alert, Oct. 27, 2020
- “SEC Proposes Enhanced Regulatory Oversight for Government Securities Alternative Trading Systems,” Schulte Alert, Oct. 23, 2020
- “Broker-Dealers: B-D Guidance on Business Continuity Planning During the COVID-19 Pandemic – Considerations for an Evolving Emergency,” Schulte Alert, March 20, 2020
- “Broker-Dealers: B-Ds Receive Consolidated Audit Trail (“CAT”) Relief Due to COVID-19 Pandemic,” Schulte Alert, March 18, 2020
- “Broker-Dealers – Coronavirus Update for Broker-Dealers – BC/DR Implications and FINRA Regulatory Relief,” Schulte Alert, March 16, 2020
- “FINRA Proposes Amendments to CAB Rules,” Schulte Alert, Feb. 14, 2020
- “SEC Adopts Rules to Enhance Order Handling Information Available to Investors,” Schulte Alert, Dec. 14, 2018, co-author
- “SEC Adopts New Transparency Requirements for NMS Stock Alternative Trading Systems,” Schulte Alert, July 31, 2018, co-author; republished in Law360, Aug. 16, 2018
- “The New FINRA Registration Requirement for Algorithmic Traders: Implications for Broker-Dealers and Investment Advisers,” Schulte Alert, April 26, 2016, co-author; republished in The Hedge Fund Journal, April/May 2016
- “Short Sale Reporting Compliance,” MFA Workshop, November 2024
- “Short Sale Reporting Compliance,” MFA Workshop, October 2024
- “Dealer Definition, Short Selling and T+1,” Schulte London Investment Management Hot Topics, May 2024
- “The SEC’s Amendments to the Dealer Definition - Part II,” AIMA Webinar, March 2024
- “The SEC’s Amendments to the Dealer Definition,” AIMA Webinar, February 2024
- “Compliance Hot Button Issues,” 33rd Annual Schulte Private Capital Forum, January 2024
- “Next Steps for Investment Funds with Exposure to Silicon Valley Bank,” Schulte Webinar, March 2023
- “Regulatory Compliance and Enforcement,” Schulte 32nd Annual Private Investment Funds Seminar, January 2023
- “Broker Dealer Issues,” Schulte 30th Annual Private Investment Funds Seminar, January 2021
- “Common Brokerage and Trading Issues,” Schulte 29th Annual Private Investment Funds Seminar, New York, January 2020
- “Common Brokerage and Trading Issues,” Schulte 28th Annual Private Investment Funds Seminar, New York, January 2019
- Intern, US Attorney’s Office, Southern District of Illinois
William J. Barbera
Partner
Advises on transactional and regulatory matters impacting broker-dealers, hedge funds and other financial institutions.
Bill advises clients regarding a number of regulations applicable to securities trading and custody practices, including regulations related to alternative trading systems, short sale practices, best execution obligations, trading in new issues and the SEC’s customer protection rule.
He also advises clients on transactional matters, including mergers and acquisitions involving broker-dealers and the negotiation of trading, custody and prime brokerage agreements.
Bar Admissions
- New York
Education
- Washington University School of Law, JD
- cum laude
- Washington University, Olin School of Business, MBA
- Tufts University, BA
- cum laude
- “UK Compliance Update: FCA Rules Will Allow CSA-Style Payments for Research From 1 Aug. 2024,” Schulte Alert, July 30, 2024
- “Securities Lending Update: SEC Extends Review Period for Proposed Securities Lending Rules,” Schulte Alert, June 12, 2024; republished in The Hedge Fund Journal
- “SEC Adopts Information Security and Notification Amendments to Regulation S-P,” Schulte Alert, June 12, 2024
- “REMINDER: T+1 Settlement Cycle and Corresponding RIA Books and Records Rules Go Into Effect May 28,” Schulte Alert, May 24, 2024
- “SEC Final Rule: Reporting of Securities Loans,” AIMA Publication, February 2024
- “SEC Final Rule: Amendments to the Definition of 'Dealer,'” AIMA Publication, February 2024
-
“Hedge funds find plenty to dislike in SEC’s dealer-rule rewrite,” Risk.net, February 2024 (quoted)
- “SEC Targets Certain Proprietary Trading Firms and Private Funds With Expanded 'Dealer' Definition,” Schulte Alert, Feb. 21, 2024
- “SEC Increases Oversight for Hedge Funds, High-Speed Traders,” Wall Street Journal, Feb. 6, 2024 (quoted)
- “SEC Adopts Short Reporting Rule for Institutional Investment Managers With Global Scope,” Schulte Alert, Nov. 7, 2023
- “SEC Securities Lending Rule: Increased Transparency and the Risk of Information Leakage,” Schulte Alert, Nov. 7, 2023
- “SEC Expands FINRA Oversight of Proprietary Trading Firms,” Schulte Alert, Sept. 6, 2023
- “SEC Proposal to Redefine the Definition of 'Dealer' Would Cover Certain Private Funds and Private Fund Advisers,” Schulte Alert, May 16, 2022
- “SEC Seeks to Shorten the Standard Settlement Cycle to T+1,” Schulte Alert, Feb. 10, 2022
- “SEC Issues Guidance Regarding Fully Paid Securities Lending Collateral Arrangements,” Schulte Alert, Oct. 27, 2020
- “SEC Proposes Enhanced Regulatory Oversight for Government Securities Alternative Trading Systems,” Schulte Alert, Oct. 23, 2020
- “Broker-Dealers: B-D Guidance on Business Continuity Planning During the COVID-19 Pandemic – Considerations for an Evolving Emergency,” Schulte Alert, March 20, 2020
- “Broker-Dealers: B-Ds Receive Consolidated Audit Trail (“CAT”) Relief Due to COVID-19 Pandemic,” Schulte Alert, March 18, 2020
- “Broker-Dealers – Coronavirus Update for Broker-Dealers – BC/DR Implications and FINRA Regulatory Relief,” Schulte Alert, March 16, 2020
- “FINRA Proposes Amendments to CAB Rules,” Schulte Alert, Feb. 14, 2020
- “SEC Adopts Rules to Enhance Order Handling Information Available to Investors,” Schulte Alert, Dec. 14, 2018, co-author
- “SEC Adopts New Transparency Requirements for NMS Stock Alternative Trading Systems,” Schulte Alert, July 31, 2018, co-author; republished in Law360, Aug. 16, 2018
- “The New FINRA Registration Requirement for Algorithmic Traders: Implications for Broker-Dealers and Investment Advisers,” Schulte Alert, April 26, 2016, co-author; republished in The Hedge Fund Journal, April/May 2016
- “Short Sale Reporting Compliance,” MFA Workshop, November 2024
- “Short Sale Reporting Compliance,” MFA Workshop, October 2024
- “Dealer Definition, Short Selling and T+1,” Schulte London Investment Management Hot Topics, May 2024
- “The SEC’s Amendments to the Dealer Definition - Part II,” AIMA Webinar, March 2024
- “The SEC’s Amendments to the Dealer Definition,” AIMA Webinar, February 2024
- “Compliance Hot Button Issues,” 33rd Annual Schulte Private Capital Forum, January 2024
- “Next Steps for Investment Funds with Exposure to Silicon Valley Bank,” Schulte Webinar, March 2023
- “Regulatory Compliance and Enforcement,” Schulte 32nd Annual Private Investment Funds Seminar, January 2023
- “Broker Dealer Issues,” Schulte 30th Annual Private Investment Funds Seminar, January 2021
- “Common Brokerage and Trading Issues,” Schulte 29th Annual Private Investment Funds Seminar, New York, January 2020
- “Common Brokerage and Trading Issues,” Schulte 28th Annual Private Investment Funds Seminar, New York, January 2019
- Intern, US Attorney’s Office, Southern District of Illinois
- “UK Compliance Update: FCA Rules Will Allow CSA-Style Payments for Research From 1 Aug. 2024,” Schulte Alert, July 30, 2024
- “Securities Lending Update: SEC Extends Review Period for Proposed Securities Lending Rules,” Schulte Alert, June 12, 2024; republished in The Hedge Fund Journal
- “SEC Adopts Information Security and Notification Amendments to Regulation S-P,” Schulte Alert, June 12, 2024
- “REMINDER: T+1 Settlement Cycle and Corresponding RIA Books and Records Rules Go Into Effect May 28,” Schulte Alert, May 24, 2024
- “SEC Final Rule: Reporting of Securities Loans,” AIMA Publication, February 2024
- “SEC Final Rule: Amendments to the Definition of 'Dealer,'” AIMA Publication, February 2024
-
“Hedge funds find plenty to dislike in SEC’s dealer-rule rewrite,” Risk.net, February 2024 (quoted)
- “SEC Targets Certain Proprietary Trading Firms and Private Funds With Expanded 'Dealer' Definition,” Schulte Alert, Feb. 21, 2024
- “SEC Increases Oversight for Hedge Funds, High-Speed Traders,” Wall Street Journal, Feb. 6, 2024 (quoted)
- “SEC Adopts Short Reporting Rule for Institutional Investment Managers With Global Scope,” Schulte Alert, Nov. 7, 2023
- “SEC Securities Lending Rule: Increased Transparency and the Risk of Information Leakage,” Schulte Alert, Nov. 7, 2023
- “SEC Expands FINRA Oversight of Proprietary Trading Firms,” Schulte Alert, Sept. 6, 2023
- “SEC Proposal to Redefine the Definition of 'Dealer' Would Cover Certain Private Funds and Private Fund Advisers,” Schulte Alert, May 16, 2022
- “SEC Seeks to Shorten the Standard Settlement Cycle to T+1,” Schulte Alert, Feb. 10, 2022
- “SEC Issues Guidance Regarding Fully Paid Securities Lending Collateral Arrangements,” Schulte Alert, Oct. 27, 2020
- “SEC Proposes Enhanced Regulatory Oversight for Government Securities Alternative Trading Systems,” Schulte Alert, Oct. 23, 2020
- “Broker-Dealers: B-D Guidance on Business Continuity Planning During the COVID-19 Pandemic – Considerations for an Evolving Emergency,” Schulte Alert, March 20, 2020
- “Broker-Dealers: B-Ds Receive Consolidated Audit Trail (“CAT”) Relief Due to COVID-19 Pandemic,” Schulte Alert, March 18, 2020
- “Broker-Dealers – Coronavirus Update for Broker-Dealers – BC/DR Implications and FINRA Regulatory Relief,” Schulte Alert, March 16, 2020
- “FINRA Proposes Amendments to CAB Rules,” Schulte Alert, Feb. 14, 2020
- “SEC Adopts Rules to Enhance Order Handling Information Available to Investors,” Schulte Alert, Dec. 14, 2018, co-author
- “SEC Adopts New Transparency Requirements for NMS Stock Alternative Trading Systems,” Schulte Alert, July 31, 2018, co-author; republished in Law360, Aug. 16, 2018
- “The New FINRA Registration Requirement for Algorithmic Traders: Implications for Broker-Dealers and Investment Advisers,” Schulte Alert, April 26, 2016, co-author; republished in The Hedge Fund Journal, April/May 2016
- “Short Sale Reporting Compliance,” MFA Workshop, November 2024
- “Short Sale Reporting Compliance,” MFA Workshop, October 2024
- “Dealer Definition, Short Selling and T+1,” Schulte London Investment Management Hot Topics, May 2024
- “The SEC’s Amendments to the Dealer Definition - Part II,” AIMA Webinar, March 2024
- “The SEC’s Amendments to the Dealer Definition,” AIMA Webinar, February 2024
- “Compliance Hot Button Issues,” 33rd Annual Schulte Private Capital Forum, January 2024
- “Next Steps for Investment Funds with Exposure to Silicon Valley Bank,” Schulte Webinar, March 2023
- “Regulatory Compliance and Enforcement,” Schulte 32nd Annual Private Investment Funds Seminar, January 2023
- “Broker Dealer Issues,” Schulte 30th Annual Private Investment Funds Seminar, January 2021
- “Common Brokerage and Trading Issues,” Schulte 29th Annual Private Investment Funds Seminar, New York, January 2020
- “Common Brokerage and Trading Issues,” Schulte 28th Annual Private Investment Funds Seminar, New York, January 2019
- Intern, US Attorney’s Office, Southern District of Illinois
