Steven Levine focuses his practice on representing investment companies, their independent board members, investment advisers, and broker-dealers. His experience includes organizing and registering investment companies, preparing materials to assist investment company board members in their review and approval various matters, preparing registration statements, proxy statements, and other regulatory filings, and assisting broker-dealers in complying with FINRA and SEC advertising rules. Steven also has worked to obtain regulatory relief on behalf of clients via SEC exemptive applications and no-action letters.
Prior to joining the firm, Steven was a paralegal for an investment company based in New York. During law school, he was awarded an International Business Law Fellowship by the Dennis J. Block Center for the Study of International Business Law. Steven also served as a legal intern at a New York bankruptcy law firm as part of his participation in Brooklyn Law School’s Consumer Counseling and Bankruptcy Clinic.
- “SEC Extends Multi-Manager Exemptive Relief to Partially-Owned Subadvisers,” The Investment Lawyer, August 2019