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Matthew R. Silver

Matthew R. Silver is an associate in the Financial Services Practice Group of Pepper Hamilton LLP, resident in the Philadelphia office. Mr. Silver concentrates his practice on the representation of investment management clients, particularly investment advisers, broker-dealers, hedge funds and other alternative investment funds, in all aspects of their business cycles.

Representative engagements include:

  • forming and structuring funds and creating and negotiating underlying fund documentation (private placement memoranda, operating agreements, etc.)
  • creating, updating and advising about supervisory and compliance related manuals and procedures for FINRA member brokers
  • negotiating ISDA swap agreements
  • interfacing/responding to SEC and FINRA inquiries, inspection issues and complaints
  • disciplinary and regulatory reporting matters and evaluations, including Form ADV, Form BD and U-4 concerns
  • forming, acquiring and/or selling brokers and investment advisers (including being involved in the associated due diligence reviews and shepherding the FINRA Rule 1017/1014 processes)
  • FINRA Rule 3310 Anti-Money Laundering compliance testing
  • creating and advising about political contribution / pay-to-play policies; policy enforcement
  • assisting with registered investment company (mutual fund) matters.

Mr. Silver’s publications include:

  • “When do International Activities Trigger U.S. Broker-Dealer Registration?” (co-author), Bloomberg Law Reports – Securities Law, December 2006
  • “Securities, Commodities and Exchanges: Shareholder Approval of Stock Option Plans — NYSE Rule 312” (co-author), Developments in Administrative Law and Regulatory Practice, American Bar Association’s Section of Administrative Law and Regulatory Practice (2000-01)
  • “Securities, Commodities and Exchanges: NYSE Developments” (co-author), Developments in Administrative Law and Regulatory Practice, American Bar Association’s Section of Administrative Law and Regulatory Practice (1999 - 2000).

Mr. Silver is admitted to practice in Pennsylvania and New York, as well as before the U.S. District Court for the Eastern District of Pennsylvania.



Education
B.A. 1997, cum laude, New York University College of Arts and Sciences
J.D. 2000, New York University School of Law; senior development editor, Annual Survey of American Law


Bar Admissions
Admitted in New York and Pennsylvania

Matthew R. Silver
Associate
Phone: 215.981.4117
Fax: 215.981.4750
silverm@pepperlaw.com
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Office(s)
Philadelphia

Practice Area(s)
Canadian
Commercial Financial Services

Crowdfunding and Peer-to-Peer Lending
Financial Services

Funds Services
International

Investment Funds Industry Group
Investment Management

Securities and Financial Services Enforcement Group


Articles


New Congressional Bill Would Exempt Business Brokers from Full SEC/FINRA Broker Registration

First Formal Pay-to-Play Exemption Request


The Impact of Rule 506(c) on Private Funds and Their Managers Who Are Legally Avoiding Full Registration as Commodity Pool Operators Under the Commodity Exchange Act

JOBS Act Rules – Limited Grandfathering for Current Investors; Certain Other Form D Developments


Bitcoin as a Medium of Exchange

The Rise of Bitcoin


Virtual Currency: Recent Federal Regulatory Considerations

Will New U.S. Court of Appeals Decision on ‘Recess Appointments’ Stay Dodd-Frank Powers Granted to CFPB and Vacate Certain Actions?


Form PF Filing Deadlines Loom for Midsized Hedge and PE Fund Advisers – Some Key Mechanical and Timing Issues

U.S. District Court Rebuffs ICI Challenge to CFTC Rule 4.5 Amendments


Caution Advised for Newly Registered Advisers

New ‘National Examination Risk Alert’ Issued by the SEC Re: Compliance with Political Contribution ‘Pay-to-Play’ Rules in Municipal Securities


FINRA Rule 5123: A New FINRA Member Broker-Dealer Compliance Requirement When Selling Private Placements

CFPB Issues Proposed Rule on Privileged Information Obtained from Supervised Entities and House Passes Bill that Would Authorize It, But Concern Remains About Erosion of Attorney-Client Privilege


Fair Housing Act Disparate Impact Case Pulled from Supreme Court Docket

Relief for Select Affiliated Investment Advisers That Wish to Operate Under a Single Investment Adviser Registration


SEC Adopts the Dreaded Form PF – But with a Few Twists

SEC and CFTC Working on Regulatory Harmonization


The Quest to Create a Self-Regulatory Organization for Investment Advisers: ‘I Say Adviser; You Say Advisor ... Let’s Call the Whole Thing Off’

Are You a ‘Large Trader’ Subject to the New SEC Reporting Rules?


New Broker Back-Office Personnel Registration, Exam and Continuing Education Requirements

The Joint SEC and CFTC Form PF Proposal – a.k.a. the ‘They Really Expect Us to Tell Them EVERYTHING About Our Funds Via Their New Fancy Form’ Proposal


New Proposed FINRA Rule 2121 – Fair and Reasonable Markups, Markdowns and Commissions

Constitutionality Analysis of Certain of the Dodd-Frank Wall Street Reform and Consumer Protection Act’s Most Significant Grants of Regulatory Power


New FINRA Rule 4530 – Reporting of Violations and Complaints

More on the New SEC Registration Requirements for Municipal Advisors under the Dodd-Frank Act - Advisors and Solicitors Who Must Register with Both the SEC and the MSRB


SEC Defines ‘Municipal Advisor’ Under Dodd-Frank Act; MSRB Registration Also Required

SEC Defines ‘Municipal Advisor’ under Dodd-Frank Act; MSRB Registration Deadline of December 31, 2010 Looms


OCIE Director Discusses Recent Changes at the Commission and Current Exam Priorities

FINRA Contemplates Requiring a Broker Version of Form ADV Disclosure


New Disclosure Obligations for Parties Providing Services to Pension Plans and Entities in Which Pension Plans Invest

New SEC Pay-to-Play and Solicitation Rules to Go into Effect


New Identity Theft Program Requirements for Most ‘Creditors’ and ‘Financial Institutions:’ One More Extension Granted

New Bill Would Require Advisers to Many Canadian Hedge And Private Equity Funds to Register as U.S. Investment Advisers


Pennsylvania Act No. 44: New ‘Pay-to-Play’ and Other Rules Governing Municipal Contracts

SEC Approves Rule Amendments Creating New Limited Representative - Investment Banker Registration Category and Series 79 Investment Banking Exam


The SEC’s ‘New Reality’ – Acting Head of OCIE Recognizes Lessons to Be Learned

Exchanges Make Modernized Uptick Rule Proposal


FINRA Proposes New Broker Licensure Requirements

Treasury Dept. Issues RFPs for Assistance with the Troubled Asset Relief Program


A Closer Look at the New SEC Shorting Rules and Disclosure Rules

Federal Court Rules on the Taking of Short-Swing Profits and Section 16 Issues


SEC Proposes to Ease Restrictions on Foreign Broker-Dealers Dealing with U.S. Clients

SEC Files Enforcement Action Against Investment Advisor


SEC Adopts New Anti-Fraud Rule for Investment Advisers

NASD/NYSE Rule Harmonization and Merger on Short Track


NASD Podcast Highlights: Compliance and Supervisory Procedures

Guidance for Mutual Fund Directors


Business Entertainment -- What's Ordinary or Excessive? We Want Your Views

IARD and CRD Service Scheduled to Shut Down from December 21, 2005 to January 3, 2006


Modifications to NASD Rule 2790: Sale of New Issues to Foreign Investment Companies

Avoiding Parking Violations: How to Comply with NASD Regulation 1031


Articles


Private Fund Investment Advisers Registration Act of 2009 Set to Impact Many Canadian Hedge and Private Equity Funds


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