Mark Stewart

About

Experience

• U.S. Securities and Exchange Commission (Full-time · 6 yrs 10 mos)
  • Attorney, SEC Division of Investment Management - Investment Adviser Regulation Office
    Aug 2022 - Present · 3 yrs 11 mos

  • Attorney-Adviser, SEC Office of Municipal Securities
    Sep 2019 - Aug 2022 · 3 yrs

• Counsel at North American Securities Administrators Association
  Aug 2015 - Sep 2019 · 4 yrs 2 mos

  As Counsel with NASAA, I am knowledgeable about the interaction between state and federal securities law; knowledgeable about Securities Act of 1933, Securities Exchange Act of 1934, and with exemptions to SEC registration including Regulation D, Regulation A+, Regulation Crowdfunding, in addition to the states’ coordinated review programs and notice filing requirements. I analyze and research state and federal securities laws, including recent case law. I analyze SEC and FINRA request for comment and final rules, and draft memos and comment letters in response. I also draft and review contracts, including technology contracts, and draft contract Side Letters and Statements of Work.

• Legislative Counsel - Healthcare at Office of Senator Mark Kirk
  Jan 2015 - Aug 2015 · 8 mos

  I represented Senator Kirk in HELP Committee meetings and in meetings with constituents and other healthcare industry stakeholders. I analyzed proposed healthcare legislation and wrote memos summarizing their impact along with developing a proposed position for the Senator to take regarding the proposal. I also drafted proposed legislation for the Senator’s consideration.

• Legal Fellow at Senator Mark Kirk
  Jun 2014 - Jan 2015 · 8 mos

  Research the law in order to ascertain current state as well as potential gaps; draft memos regarding Supreme Court decisions and other current legal events; conducting extensive work regarding the whistleblower laws, Federal Torts Claims Act, and First Amendment Freedom of Speech

• Law Clerk at Association of Corporate Counsel
  Jul 2013 - Sep 2013 · 3 mos