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Allen & Overy LLP
1101 New York Avenue, NW
Washington, DC
20005
United States

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  Barbara Stettner

Partner

Washington, D.C.

Barbara is the managing partner of the Washington, D.C. office. Barbara's practice focuses on advising U.S. and foreign financial institutions on their regulatory and compliance obligations under the Securities Exchange Act of 1934, the Investment Advisers Act of 1940 and the Bank Secrecy Act. Barbara represents foreign and domestic banks, asset managers and broker-dealers on various regulatory aspects of Dodd-Frank, including Volcker and those provisions involving municipal advisors, investment advisers, and securities-based swap dealers. Barbara's practice also focuses on the regulatory obligations of domestic and cross-border fund raising activities including broker-dealer, finder and placement agent status questions, sales practice requirements and the federal and state pay-to-play, ethics and lobbying regulations.

Before entering private practice, she worked at the SEC’s Division of Market Regulation (now Trading and Markets), where she served as Special Counsel in the Office of the Chief Counsel and as an Attorney-Advisor in the Office of Risk Management and Control. She also served as Senior Counsel in the Commission’s Office of International Affairs. Prior to joining the firm, Barbara practiced at prominent law firms in Washington, D.C. and London. As part of the Financial Services Volunteer Corp, she regularly provides pro bono technical assistance to emerging markets on the regulatory and supervisory systems of markets and market intermediaries, including Jordan, the UAE, Russia, and Romania.

Barbara is widely recognized as a leading regulatory lawyer having been recognized in Chambers USA in both Securities: Regulation: Advisory and Financial Services Regulation: Broker Dealer (Compliance). According to Chambers USA, Barbara“receives accolades for the reasoned advice that she provides to broker-dealers and other financial institutions relating to regulatory compliance. A client enthuses that ‘she has a very good knowledge of the law’ and is ‘one of the best to get in that area to answer your questions.’”

Professional qualifications

Admitted to the Bar, District of Columbia, 1997

Admitted to the Bar, State of California, 1995

Academic qualifications

LL.M., London School of Economics and Political Science, 1995

J.D., Pepperdine University, 1994

M.B.A. in Finance and Economics, Pepperdine University, 1993

B.A, University of California, 1989

Published work

"Securities and Exchange Commission Announces Protection Rule Initiative," Allen & Overy Publication (June 28, 2016), with Chris Salter, William White, Kimberly Chehardy and Matthew Daigler

“The SEC continues its focus on unlicensed activities of non-U.S. employees of non-U.S. financial institutions: The recent Credit Suisse settlement” Allen & Overy Publication (March 3, 2014), with Bill Satchell, William White and Claire Rajan

“Our View: What Does the New Wave of Municipal Securities Enforcement Cases Mean for Municipal Underwriters?,” Allen & Overy Publication (September 17, 2013), with William White, Chris Salter and Charles Borden

“Non-U.S. Issuers Selling Fund Interests In The United States,” The Review of Securities & Commodities Regulation (July, 2012), with Charles Borden, Sam Brown and Claire Rajan

“CFTC Adopts Pay-to-Play Rule for Swap Dealers,” Allen & Overy Publication (February 27, 2012), with Charles Borden, Jason Abel, and Rachel Loko.

“Walking a Narrow Path: The Proposed Volcker Rule and Bank-Affiliated Asset Managers,” Allen & Overy Publication (November 2, 2011), with Douglas Landy, Chris Salter, John Williams, Deborah North, David Lucking, Lawton Camp, Jillian Ashley and Robert Schwartz.

“The Volcker Rule and Foreign Banks, Part II: The “Foreign Funds Exemption” and the Outer Limits of Extraterritorial Reach, Allen & Overy Publication (October 27, 2011), with Douglas Landy, Chris Salter, John Williams, Deborah North, David Lucking, Lawton Camp and Robert Schwartz

“Agencies Release Proposal To Implement Volcker Rule and Request Comment” Allen & Overy Publication (October 11, 2011), with Douglas Landy, Chris Salter, John Williams, Deborah North, David Lucking and Lawton Camp

“Campaign Contributions: Benevolent Civic Participation or Danger Zone for Investment Advisers to Private Funds?,” The Investment Lawyer (February 2007), with Bill Satchell, Adam Hellman, and Astri Kimball

“The Distribution of Private Fund Securities: Regulatory Considerations and Potential Liabilities When Using Unlicensed Finders,” The Investment Lawyer (September 2005), with Darren Vieira

“The New Anti-Money Laundering Responsibilities of Broker-Dealers,” Insights, The Corporate & Securities Law Advisor (July 2002)

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