Rebecca Leon is a financial services regulatory partner in Holland & Knight's Miami office, leader of our Broker-Dealer Regulation and Compliance and International Financial Regulation practices, a co-leader of the Investment Management Team, and a member of the firm's Financial Services Practice Group.
Ms. Leon counsels clients on a wide range of state and federal securities law issues, as well as on compliance with the rules of the Financial Industry Regulatory Authority (FINRA). She assists clients with a panoply of intercompany, customer and industry agreements and works closely to guide financial services firms on structuring and developing their global operations.
Ms. Leon counsels clients from both a U.S. and global perspective. She advises her clients on marketing and offering financial products and services outside the U.S.; foreign registration, licensing and exemptions; establishing foreign operations; and concurrent compliance with U.S. and foreign law. She works in more than 100 jurisdictions worldwide.
A true international lawyer, she maintains an active network of contacts of attorneys outside the United States in order to efficiently and effectively guide clients through the legal challenges of international initiatives.
Prior to joining Holland & Knight, Ms. Leon worked at law firms in New York and Miami, where she also assisted clients with hedge fund formation, public offerings, private placements, securities arbitrations, and investigations by the U.S. Securities and Exchange Commission (SEC) and FINRA. Notably, she also has prior experience as a staff attorney in the Enforcement Division of the SEC’s New York Regional Office. During law school, she maintained internships at both the New York Stock Exchange (NYSE) and the U.S. Commodity Futures Trading Commission (CFTC).
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