Tracey Russell

Special Counsel at Sullivan & Cromwell LLP

Tracey Russell

Tracey Russell

Special Counsel at Sullivan & Cromwell LLP

Biography

Ms. Russell is special counsel in the Firm’s General Practice Group. Ms. Russell regularly advises Firm clients in respect of Federal and State broker-dealer regulatory matters and applicable self-regulatory organization (SRO) matters. She advises clients on, among other things, Securities and Exchange Commission (SEC) financial responsibility rules, foreign broker-dealer/cross-border requirements, books and records requirements, general broker-dealer registration (and SRO membership), and material change in business operations and change in ownership/control requirements, dealer/trader/finder issues, fee payment/splitting issues, underwriting issues (FINRA corporate financing and conflicts of interest, fixed price offering, and new issues/IPO allocation/spinning requirements), and compliance with FINRA rules, including research requirements, sales literature issues, and trading issues (including short-sale and front running requirements). Ms. Russell works with the Firm’s clients in the FINRA Corporate Financing approval process, interfacing with the Corporate Finance staff, and providing advice with respect to FINRA’s Corporate Financing rules as a general matter. Ms. Russell has helped obtain FINRA clearance on numerous public offerings. Ms. Russell also helps Firm clients navigate through state “Blue Sky” securities and insurance laws, assisting in registration and notice submissions and interfacing with state regulators on the registration or exemption process, having obtained exemptive relief or approval in numerous securities issuances. In addition, Ms. Russell advises the Firm’s litigation and financial institutions group in regulatory exams and investigations and provides guidance on collateral consequences in connection with regulatory and criminal matters.

Prior to joining S&C, Ms. Russell was senior counsel in FINRA’s Enforcement Group and worked previously with a large firm in that firm’s securities enforcement practice group representing large financial institutions in regulatory exams and investigations.

Overview
RelSci Relationships

1032

Contact Data
Trying to get in touch with Tracey Russell? Subscribe today to access their professional contact information and receive a one time promotion of free Contact Data credits!
Relationships
RelSci Relationships are individuals Tracey Russell likely has professional access to. A relationship does not necessarily indicate a personal connection.

Partner at Sullivan & Cromwell LLP

Relationship likelihood: Strong

Special Counsel at Sullivan & Cromwell LLP

Relationship likelihood: Strong

Partner at Sullivan & Cromwell LLP

Relationship likelihood: Strong

Partner at Sullivan & Cromwell LLP

Relationship likelihood: Strong

Partner at Sullivan & Cromwell LLP

Relationship likelihood: Strong

Partner at Sullivan & Cromwell LLP

Relationship likelihood: Strong

Former Associate at Sullivan & Cromwell LLP

Relationship likelihood: Strong

Associate at Sullivan & Cromwell LLP

Relationship likelihood: Strong

Associate at Sullivan & Cromwell LLP

Relationship likelihood: Strong

Partner at Sullivan & Cromwell LLP

Relationship likelihood: Strong

Paths to Tracey Russell
Potential Connections via
Relationship Science
You
Tracey Russell
Special Counsel at Sullivan & Cromwell LLP
Education
JD
Class of 2001

Brooklyn Law School (BLS) is a law school founded in 1901. It is located in Brooklyn Heights, New York City, in the United States, and has approximately 1,400 students.Brooklyn Law School’s faculty includes 64 full-time professors, 6 emeriti faculty, and a number of adjunct faculty, many of whom are preeminent legal scholars.

Career History
Special Counsel
Current

Sullivan & Cromwell provides legal advisory services to financial, healthcare, insurance, real estate, energy, other sectors.

Transactions
Details Hidden

Levi Strauss & Co. issued USD Common Stock

Details Hidden

SVB Financial Group, Silicon Valley Bank purchase SVB Leerink Holdings LLC from SVB Leerink LLC

Details Hidden

Amalgamated Bank issued USD Common Stock

Other Affiliations

Tracey Russell is affiliated with Sullivan & Cromwell LLP

This web site is not endorsed by, directly affiliated with, maintained, authorized, or sponsored by Tracey Russell. The use of any trade name or trademark is for identification and reference purposes only and does not imply any association with the trademark holder. The Presence of Tracey Russell's profile does not indicate a business or promotional relationship of any kind between RelSci and Tracey Russell.