Alert
The LatestView All
January 22, 2024
Nashville partner Bob Wade will participate in the Health Care Compliance Association (HCCA) Anchorage Regional Compliance & Ethics Conference in Feb. 22-23. The conference will include topics on regulatory requirements, compliance enforcement, risk management, and maintaining an effective compliance program. Attendees will have the opportunity to earn live Compliance Certification Board (CCB) continuing education units (CEUs) and network with other professionals.
Anchorage Regional Compliance & Ethics Conference
Idea Exchange
Bobby Wenner
Of Counsel
Suite 500
Denver, CO 80202
Bobby counsels financial services and technology firms on financial services regulatory and corporate matters. He focuses on the representation of financial technology companies working with blockchain, tokenization, digital assets, and cryptocurrencies, including broker-dealers, alternative trading systems (ATS), digital asset and currency trading platforms, digital asset issuers and custodians, securities exchanges, and derivatives trading platforms including...
Bobby counsels financial services and technology firms on financial services regulatory and corporate matters. He focuses on the representation of financial technology companies working with blockchain, tokenization, digital assets, and cryptocurrencies, including broker-dealers, alternative trading systems (ATS), digital asset and currency trading platforms, digital asset issuers and custodians, securities exchanges, and derivatives trading platforms including swap execution facilities.
Bobby represents these clients before Congress, the Securities Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the Commodity Futures Trading Commission (CFTC), and state financial services regulators. He also represents banks, money services businesses, and payment processors before the federal banking regulators, including the Office of the Comptroller of the Currency, the Financial Crimes Enforcement Network (FinCEN), and state banking regulators.
Before joining Nelson Mullins, Bobby served as the Chief Legal Officer of a FINRA-member broker-dealer and ATS designed for trading digital asset securities, as well as the Associate General Counsel of the holding company, and the company’s digital asset trading and issuance ecosystem. In these roles, Bobby led various state and federal financial services licensure applications, interfaced with regulators, provided counsel on a wide range of securities, commodities, and derivatives product development efforts, and helped develop a regulatory compliant business model and launch strategy. Prior to his positions in-house, Bobby was an associate in the FinTech and Regulation practice of a national law firm.
swap execution facilities.
Bobby represents these clients before Congress, the Securities Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the Commodity Futures Trading Commission (CFTC), and state financial services regulators. He also represents banks, money services businesses, and payment processors before the federal banking regulators, including the Office of the Comptroller of the Currency, the Financial Crimes Enforcement Network (FinCEN), and state banking regulators.
Before joining Nelson Mullins, Bobby served as the Chief Legal Officer of a FINRA-member broker-dealer and ATS designed for trading digital asset securities, as well as the Associate General Counsel of the holding company, and the company’s digital asset trading and issuance ecosystem. In these roles, Bobby led various state and federal financial services licensure applications, interfaced with regulators, provided counsel on a wide range of securities, commodities, and derivatives product development efforts, and helped develop a regulatory compliant business model and launch strategy. Prior to his positions in-house, Bobby was an associate in the FinTech and Regulation practice of a national law firm.
Experience
Representative Experience
- Has assisted clients with registering as broker dealers operating alternative trading systems (with or without digital asset permissions) with FINRA and the SEC
- Has assisted clients with obtaining state money transmitter licenses and registering as federal money services business
- Has advised on compliant digital asset securities issuances.
- Has assisted clients in responding to and negotiating financial services regulatory inquiries and investigations, including from the SEC, FINRA, and the CFTC
- Has drafted petitions for rulemaking and rule change, as well as comment letters, to the SEC and FINRA on behalf of financial technology clients
Previous Work Experience
- Chief Legal Officer, FINRA-member broker-dealer authorized to operate an alternative trading system for digital asset securities (2021-2023)
- Associate General Counsel, Holding company for digital asset trading platforms and investment product ecosystem (2020-2023)
- Associate, National law firm (2016-2020)
- Summer Associate, National law firm (2015)
- Law Clerk, U.S. Senate Committee on the Judiciary (2015)
- Law Clerk, U.S. Department of Justice, Office of Overseas Prosecutorial Development and Assistance Training (2014)
Education
-
Georgetown University Law Center,
JD
(2016)
- Executive Editor, Food and Drug Law Journal
- University of Denver, BA, International Relations & Affairs, cum laude (2012)
Admissions
- Colorado
Practice Areas
Industries
Representative Experience
- Has assisted clients with registering as broker dealers operating alternative trading systems (with or without digital asset permissions) with FINRA and the SEC
- Has assisted clients with obtaining state money transmitter licenses and registering as federal money services business
- Has advised on compliant digital asset securities issuances.
- Has assisted clients in responding to and negotiating financial services regulatory inquiries and investigations, including from the SEC, FINRA, and the CFTC
- Has drafted petitions for rulemaking and rule change, as well as comment letters, to the SEC and FINRA on behalf of financial technology clients
Previous Work Experience
- Chief Legal Officer, FINRA-member broker-dealer authorized to operate an alternative trading system for digital asset securities (2021-2023)
- Associate General Counsel, Holding company for digital asset trading platforms and investment product ecosystem (2020-2023)
- Associate, National law firm (2016-2020)
- Summer Associate, National law firm (2015)
- Law Clerk, U.S. Senate Committee on the Judiciary (2015)
- Law Clerk, U.S. Department of Justice, Office of Overseas Prosecutorial Development and Assistance Training (2014)
Media
Professional Activities
- Member, Colorado Bar Association
Bobby counsels financial services and technology firms on financial services regulatory and corporate matters. He focuses on the representation of financial technology companies working with blockchain, tokenization, digital assets, and cryptocurrencies, including broker-dealers, alternative trading systems (ATS), digital asset and currency trading platforms, digital asset issuers and custodians, securities exchanges, and derivatives trading platforms including... swap execution facilities.
Bobby represents these clients before Congress, the Securities Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the Commodity Futures Trading Commission (CFTC), and state financial services regulators. He also represents banks, money services businesses, and payment processors before the federal banking regulators, including the Office of the Comptroller of the Currency, the Financial Crimes Enforcement Network (FinCEN), and state banking regulators.
Before joining Nelson Mullins, Bobby served as the Chief Legal Officer of a FINRA-member broker-dealer and ATS designed for trading digital asset securities, as well as the Associate General Counsel of the holding company, and the company’s digital asset trading and issuance ecosystem. In these roles, Bobby led various state and federal financial services licensure applications, interfaced with regulators, provided counsel on a wide range of securities, commodities, and derivatives product development efforts, and helped develop a regulatory compliant business model and launch strategy. Prior to his positions in-house, Bobby was an associate in the FinTech and Regulation practice of a national law firm.
Experience
Following is a selected sampling of matters and is provided for informational purposes only. Past success does not indicate the likelihood of success in any future matter.Representative Experience
- Has assisted clients with registering as broker dealers operating alternative trading systems (with or without digital asset permissions) with FINRA and the SEC
- Has assisted clients with obtaining state money transmitter licenses and registering as federal money services business
- Has advised on compliant digital asset securities issuances.
- Has assisted clients in responding to and negotiating financial services regulatory inquiries and investigations, including from the SEC, FINRA, and the CFTC
- Has drafted petitions for rulemaking and rule change, as well as comment letters, to the SEC and FINRA on behalf of financial technology clients
Previous Work Experience
- Chief Legal Officer, FINRA-member broker-dealer authorized to operate an alternative trading system for digital asset securities (2021-2023)
- Associate General Counsel, Holding company for digital asset trading platforms and investment product ecosystem (2020-2023)
- Associate, National law firm (2016-2020)
- Summer Associate, National law firm (2015)
- Law Clerk, U.S. Senate Committee on the Judiciary (2015)
- Law Clerk, U.S. Department of Justice, Office of Overseas Prosecutorial Development and Assistance Training (2014)
Education
-
Georgetown University Law Center,
JD
(2016)
- Executive Editor, Food and Drug Law Journal
- University of Denver, BA, International Relations & Affairs, cum laude (2012)
Admissions
- Colorado
Practice Areas
- FinTech
- Blockchain & Digital Currency
- Financial Institutions Corporate & Regulatory
- Payments & Digital Commerce
- Corporate & Securities
- Emerging Companies
- Government Relations Strategies
- Securities & Enforcement
- White Collar Defense & Government Investigations
Industries
- Member, Colorado Bar Association
Highlights from the Firm’s Insights
