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Barbara Stettner

Partner

Washington, D.C.

Stettner Barbara
Barbara Stettner

Partner

Washington, D.C.

Barbara is the Head of Allen & Overy’s US Financial Services Regulatory Practice, a member of the Global Financial Services Regulatory Steering Committee, and a member of the Global Board. 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, funds, 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 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 2019, “Barbara is said to bring ‘years of experience of what has worked’ and ‘broad-based fundamental skills and expertise in broker dealer matters.’ A client enthuses that ‘she does an excellent job of spotting all the regulatory issues that might be implicated in a question and bringing all of those issues together.’”

News & Insights

shopping bag

News: 22 SEPTEMBER 2020

Shoppingcenter-Spezialist ECE setzt bei Debüt am Anleihemarkt auf Allen & Overy

Allen & Overy hat ECE Real Estate Partners, die Fonds-Management-Gesellschaft des Hamburger Gewerbeimmobilien-Spezialisten ECE, bei der Begebung einer innovativen Immobilienanleihe beraten.

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Wien

News: 17 SEPTEMBER 2020

Allen & Overy berät die Oesterreichische Kontrollbank bei Anleihe in Höhe von 1,5 Milliarden US-Dollar

Allen & Overy hat die Oesterreichische Kontrollbank rechtlich bei der Emission einer 1,5 Milliarden US-Dollar schweren Anleihe (Guaranteed Global Notes) mit einer Verzinsung von 0,375 Prozent und…

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real estate property

News: 14 SEPTEMBER 2020

Allen & Overy berät Corestate bei erfolgreicher Durchführung einer Kapitalerhöhung

Allen & Overy hat die CORESTATE Capital Holding S.A. („Corestate“) bei der erfolgreichen Durchführung einer Kapitalerhöhung beraten. Das SDAX-Unternehmen mit Sitz in Luxemburg, ein führender…

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Covid-19 coronavirus

Publications: 04 SEPTEMBER 2020

Covid-19 Coronavirus: Änderung des COVInsAG

Aussetzung des Insolvenzantragsgrundes der Überschuldung bis zum 31. Dezember 2020 und Folgen der Aussetzung

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Expertise

Beratungsschwerpunkte

Capital Markets

Financial Services Regulation

Sektoren

Financial Institutions

Standort

Washington, D.C.

Allen & Overy LLP
1101 New York Avenue, NW
Washington, D.C.
20005

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Qualifikationen

Fachlich

Admitted to the Bar, District of Columbia, 1997

Admitted to the Bar, State of California, 1995

Akademisch

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

Fraudulent emails

Please note there is a known fraud/scam currently using the Allen & Overy brand and Barbara Stettner's name.

More information on fraud using the Allen & Overy brand can be found here.

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)