Howard L. Kramer
1301 K Street NW Suite 500 East Washington, District of Columbia 20005
Firm:
Davis Wright Tremaine LLP
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Overview
Howard Kramer represents companies in securities regulatory law, with particular emphasis on broker-dealer, market structure and compliance matters. In addition to providing advice, he also represents clients in regulatory investigations, inquiries and examinations.
Mr. Kramer’s practice focuses on trading rules, derivatives, alternative trading systems, and broker-dealer regulatory and compliance issues. His clients have included major securities firms, equity and options market-making desks, securities and derivatives markets, electronic and Internet-based trading systems and hedge funds. He also has served as an independent consultant for several entities with respect to their enforcement settlements with the SEC.
Prior to entering private practice in 1998, Mr. Kramer served for 16 years in several positions with the SEC, including Senior Associate Director and Associate Director (1993-1998) of the Division of Market Regulation (now the Division of Trading and Markets), where he was responsible for oversight and regulation of the securities markets generally, including stock and options exchanges, Nasdaq, and debt markets, and the formulation and implementation of the SEC's national market system and other market structure programs.
Mr. Kramer played a leading role in developing SEC policy with respect to derivative products generally, including both listed and over-the-counter (OTC). He also represented the SEC at securities markets conferences and in domestic and international discussions with securities industry representatives, self-regulatory organization officials and staff, and government officials and staff in the U.S. and abroad. Prior to being appointed Senior Associate Director, Mr. Kramer served in several other positions with the SEC, including:
Mr. Kramer’s practice focuses on trading rules, derivatives, alternative trading systems, and broker-dealer regulatory and compliance issues. His clients have included major securities firms, equity and options market-making desks, securities and derivatives markets, electronic and Internet-based trading systems and hedge funds. He also has served as an independent consultant for several entities with respect to their enforcement settlements with the SEC.
Prior to entering private practice in 1998, Mr. Kramer served for 16 years in several positions with the SEC, including Senior Associate Director and Associate Director (1993-1998) of the Division of Market Regulation (now the Division of Trading and Markets), where he was responsible for oversight and regulation of the securities markets generally, including stock and options exchanges, Nasdaq, and debt markets, and the formulation and implementation of the SEC's national market system and other market structure programs.
Mr. Kramer played a leading role in developing SEC policy with respect to derivative products generally, including both listed and over-the-counter (OTC). He also represented the SEC at securities markets conferences and in domestic and international discussions with securities industry representatives, self-regulatory organization officials and staff, and government officials and staff in the U.S. and abroad. Prior to being appointed Senior Associate Director, Mr. Kramer served in several other positions with the SEC, including:
- Senior Special Counsel (1991-1993)
- Assistant Director for Options and Exchanges (1986-1991)
- Chief, Branch of Options (1984-1986)
- Staff Attorney, Branch of Over-the-Counter Regulation (1981-1983)
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Contact Details and Office Locations
Office: (202) 973-4200
1301 K Street NW Suite 500 East
Washington, District of Columbia 20005
Washington, District of Columbia 20005
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