Mike Dorsey is a Bates Group Consultant and Expert in Market Regulation, Asset Management and Corporate Compliance. Throughout his professional career, Mr. Dorsey has advised executives of broker-dealers and investment advisers on legal and regulatory aspects of their businesses, including fixed-income trading and securities lending through repurchase and reverse repurchase agreements, the structure of the equities market and Regulation NMS, alternative trading systems and Regulation ATS, sponsored access/direct market access and high-frequency trading, registration of the firm and its associated/affiliated persons, financial and operational matters, market making and sales trading, asset management and gathering, risk management and compliance oversight, and supervisory systems and procedures.
After completing law school, Mr. Dorsey held judicial clerkships with the Honorable Robert G. Dowd, Jr., of the Missouri Court of Appeals (E.D.) and the Honorable Roy W. Harper of the U.S. District Court (E.D. Mo.). For 8 years, he held various positions of increasing responsibility in the Division of Market Regulation (n/k/a Division of Trading and Markets) at the Securities and Exchange Commission (SEC). Mr. Dorsey first served as a staff attorney in the Office of Financial Responsibility and then in the Office of Trading Practices, then serving as special counsel and a branch chief in the Office of Compliance Oversight and Examinations. Since leaving SEC, he has held a variety of positions in the securities and asset management industries.
Mr. Dorsey is a former member of the International Committee and Trading Issues Committee of the Securities Traders Association of New York (STANY), and of the Compliance Committee of the Securities Traders Association (STA). He holds FINRA Series 7 and 24 licenses and is a veteran of the U.S. Navy.
MTD Compliance Advisor LLC, President, March 2005 – October 2006, March 2008 – May 2012, October 2017 -
Annaly Capital Management, Inc., Associate General Counsel and Chief Compliance Officer of Annaly Management Company, Fixed Income Discount Advisory Company, and RCap Securities, Inc., October 2012 –
Oyster Consulting, LLC, Associate Director, May 2012 – October 2012
OTC Markets Group, Inc, Managing Director, Trading Services and Compliance, October 2006 – March 2008
WR Capital Management L.P., Senior Vice President, General Counsel and Chief Compliance Officer, June 2004 –
Crown Financial Group, Inc. (OTCM: CFGI.PK), Director, Executive Vice President, General Counsel, Secretary and Director of New Product Development, January 2003 – March 2004
Knight Capital Group, Inc. (NYSE: KCG), Senior Vice President, General Counsel, Secretary, and Director of Legislative and Regulatory Affairs, March 1998 – January 2003
The Prudential Insurance Company of America, Assistant General Counsel (General Investment Section), June 1994 – March 1998
Securities and Exchange Commission (Division of Market Regulation), March 1986 – June 1994
Branch Chief, Special Counsel (Office of Compliance Inspections and Oversight)
Attorney/Advisor (Offices of Trading Practices and Financial Responsibility)
Court Clerkships, Missouri, Judicial Clerkship
The Honorable Roy W. Harper of the U.S. District Court, May 1985 – March 1986
The Honorable Robert G. Dowd, Jr., of the Missouri Court of Appeals, August 1984 – April 1985
Georgetown University Law Center, Washington, D.C., LL.M (Sec. Reg.)
University of Missouri School of Law, Columbia, MO, Juris Doctor
St. Louis University, St. Louis, MO, BSBA, Finance (Cum Laude)
FINRA Series 7, 24
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