Languages

• German

Lawyer Overview

Elizabeth Derbes is a partner in the firm's Securities Department, and a member of the Broker-Dealer Compliance and Regulation Practice Group. She joined the firm in 1999.

Practice

Ms. Derbes advises broker-dealers, alternative trading systems, hedge funds, 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, and supervisory and compliance systems and procedures. She also represents broker-dealers and other clients in SEC and SRO investigations and enforcement matters.

Professional Activities

Ms. Derbes serves on the boards of directors of the Elevator Repair Service theatre ensemble and of the Afro-Latin Jazz Alliance, Inc.

Honors and Awards

• Ms. Derbes' article entitled "Treasury Department's Proposed Overhaul of the Financial Regulatory Structure: A Look at the Blueprint and a Look Ahead," published in the Journal of Investment Compliance was chosen as a "Highly Commended Award Winner" at the Emerald Literati Network's 2009 Awards for Excellence.

Areas of Practice

• Securities
• Broker-Dealer Compliance and Regulation

West Practice Categories

Securities Law, Securities Regulation

Bar Admissions

• New York
• District of Columbia

Education

• University of Chicago Law School, 1998
  JD
  Honors: with honors
• Harvard University, 1992
  BA
  Honors: with high honors

Published Works

• Treasury Proposes Registration of Fund Advisers; SEC Testifies in Support, 2009
• Proposed Consumer Financial Protection Agency Would Cloud SEC Enforcement, 2009
• President Obama's Regulatory Reform Proposal—Major Overhaul or Missed Opportunity?, 2009
• Regulating OTC Derivatives: How Hard Would It Be To Undo the CFMA?, 2009
• EU Proposal on Regulation of Alternative Investment Fund Management, 2009
• Short Sales and Investor Confidence, 2009
• A Regulatory Policy Dilemma: Short Sale Restrictions and Investor Confidence, 2009
• SEC Seeks Comment on Various Short Sale Restrictions, 2009
• Securities Mosaic: SEC Approves Joint Venture of CME and Citadel to Act as a Central Counterparty for Credit Default Swaps, 2009
• SEC Approves Joint Venture of CME and Citadel to Act as a Central Counterparty for Credit Default Swaps, 2009
• Towards a Consolidated Rulebook: FINRA's Proposals Achieve Harmonization, but Raise Questions, 2008
• Treasury Department’s Proposed Overhaul of the Financial Regulatory Structure: A Look at the Blueprint and a Look Ahead, 2008

Address

399 Park Avenue
New York, NY 10022

Phones

+1 212 295 6430 (Business Phone)

Faxes

+1 212 230 8888 (Business Fax)

Emails

Contact Us (Business Email)

Websites

www.wilmerhale.com