Atty. C. Dirk Peterson
Drawing on his experience in government service and over 25 years of private practice at two global Am-Law 100 firms, clients look to Mr. Peterson for counsel on a broad range of federal and state securities-regulatory matters.
Profile Summary
About C. Dirk Peterson at a glance
C. Dirk Peterson is an Of Counsel based in Washington, District of Columbia, practicing at McIntyre & Lemon, PLLC. They have 36+ years of legal experience, licensed to practice since 1990. Their practice focuses on business, securities, government, entertainment, and international. Admitted to practice in Pennsylvania (1990) and District of Columbia (1996). Educated at Washington University School of Law (J.D., 1990) and University of Tulsa (B.A., 1986). Serands clients in Washington, DC and the surrounding metropolitan area.
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About
- Drawing on his experience in government service and over 25 years of private practice at two global Am-Law 100 firms, clients look to Mr. Peterson for counsel on a broad range of federal and state securities-regulatory matters
- Mr. Peterson routinely represents financial institutions and trade associations before the United States Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the New York Stock Exchange (NYSE), and various state securities commissions on a variety of regulatory matters, including the financial responsibility rules of the SEC, business approvals prescribed by FINRA and the NYSE, the extent of pre-emption of state investment adviser regulations pertinent to SEC-registered investment advisers, and for purposes of commenting on SEC and SRO rulemakings
- He specializes in advising financial institutions on securities regulatory issues related to, among other things: (1) registration of broker-dealers, investment advisers, municipal securities advisors, and transfer agents, (2) distribution and sales platforms, (3) implementation of effective information barriers across an integrated financial services organization, (4) standards of sales-practice and fiduciary conduct, (5) changes of ownership and control of regulated firms, (6) approvals for material business expansions instituted by regulated firms, (7) implementation of compliance controls and written policies and procedures, (8) permissible soft-dollar arrangements, (9) cross-border matters, including the permissible reliance on an exemption for foreign broker-dealers to offer and sell securities in the United States, and (10) navigating SEC and SRO regulatory examinations
- He also advises and opines on broker-dealer, investment adviser, and investment company status issues
- Prior to entering private practice, Mr. Peterson was associated with the SEC’s Division of Trading and Markets, Office of Chief Counsel, where he participated in rulemakings under, and regulatory interpretations of, provisions of the Securities Exchange Act of 1934
- During his tenure with the SEC, Mr. Peterson was the recipient of the Chairman’s Award for Excellence for his participation in the municipal securities market reform initiatives of then Chairman Arthur Levitt
Practice Areas Explained
C. Dirk Peterson's Areas of Practice
Each practice area below reflects the types of cases C. Dirk Peterson handles, with a brief overview of what that area of law covers.
Business attorneys advise founders and growing companies on entity formation, contracts, financing, M&A, and dispute resolution.
C. Dirk Peterson is one of 501,317 business attorneys indexed nationally. Browse business attorneys in District of Columbia →
C. Dirk Peterson is one of 64,529 securities attorneys indexed nationally. Browse securities attorneys in District of Columbia →
Attorneys for administrative law, agency hearings, government contracts, licensing, and public benefits.
C. Dirk Peterson is one of 132,225 government attorneys indexed nationally. Browse government attorneys in District of Columbia →
Entertainment lawyers for music, film, sports contracts, talent representation, and IP licensing.
C. Dirk Peterson is one of 45,946 entertainment attorneys indexed nationally. Browse entertainment attorneys in District of Columbia →
International law attorneys for cross-border transactions, trade, foreign investment, and treaties.
C. Dirk Peterson is one of 40,133 international attorneys indexed nationally. Browse international attorneys in District of Columbia →
Jurisdictional Context
Why local counsel matters in District of Columbia
Practicing law in District of Columbia. Legal matters in District of Columbia are governed by state-specific rules of civil and criminal procedure, statutes of limitations, and substantive law. Cases originating in Washington are typically filed in the local municipal court or the appropriate District of Columbia state district court, depending on subject matter and amount in controversy. An attorney licensed in District of Columbia brings working knowledge of local procedural deadlines, judicial practices in this andnue, and the substantive law that applies to cases brought here. Out-of-state attorneys generally cannot represent clients in District of Columbia courts without local counsel or pro hac vice admission.
Looking for additional District of Columbia attorneys? Browse all attorneys in Washington or all attorneys in District of Columbia.
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