Valerie Dahiya
Valerie Dahiya is an authority in broker-dealer law and advises broker-dealer clients on a myriad of regulatory issues. She also advises clients in the blockchain space that are seeking to register and operate Alternative Trading Systems (ATS) or exchanges
to facilitate the trading of security tokens. Valerie has a sophisticated understanding of the federal securities laws, which allows her to provide strategic counsel on the regulatory issues surrounding broker-dealer operations. She also has extensive experience with short selling regulation and broker-dealer oversight.
Prior to joining Perkins Coie, Valerie was Branch Chief in the Office of Trading Practices in the Division of Trading and Markets at the U.S. Securities and Exchange Commission (SEC), where she was responsible for the administration of Reg SHO. Prior to
joining the Division of Trading Markets, in the Office of Compliance Inspection and Examinations, Valerie conducted examinations and inspections of broker-dealers for compliance issues relating to Regulations ATS, NMS, M, SCI and SHO; suitability and
standard of care issues; large trader and position reporting; forex trading; market access and other electronic trading issues; information barriers and insider trading; soft dollars and commission sharing arrangements; research; the net capital and customer
protection rules; cyber security and data protection issues; and books-and-records requirements. This unique experience informs her counsel on the highly complex regulatory issues associated with broker-dealer and ATS operations.
With over 13 years of experience in the broker-dealer space, Valerie’s experienced counsel assists clients in identifying and addressing issues non-compliant with broker-dealer regulations. While at the SEC, she worked extensively on issues related to
market making, ETFs, direct market or sponsored access, when issued securities, and trading in the grey markets. She also reviewed enforcement and examination matters involving broker-deals and securities markets. Valerie’s background also includes
working in Market Regulation at FINRA, where she focused on issues related to OATS reporting.
to facilitate the trading of security tokens. Valerie has a sophisticated understanding of the federal securities laws, which allows her to provide strategic counsel on the regulatory issues surrounding broker-dealer operations. She also has extensive experience with short selling regulation and broker-dealer oversight.
Prior to joining Perkins Coie, Valerie was Branch Chief in the Office of Trading Practices in the Division of Trading and Markets at the U.S. Securities and Exchange Commission (SEC), where she was responsible for the administration of Reg SHO. Prior to
joining the Division of Trading Markets, in the Office of Compliance Inspection and Examinations, Valerie conducted examinations and inspections of broker-dealers for compliance issues relating to Regulations ATS, NMS, M, SCI and SHO; suitability and
standard of care issues; large trader and position reporting; forex trading; market access and other electronic trading issues; information barriers and insider trading; soft dollars and commission sharing arrangements; research; the net capital and customer
protection rules; cyber security and data protection issues; and books-and-records requirements. This unique experience informs her counsel on the highly complex regulatory issues associated with broker-dealer and ATS operations.
With over 13 years of experience in the broker-dealer space, Valerie’s experienced counsel assists clients in identifying and addressing issues non-compliant with broker-dealer regulations. While at the SEC, she worked extensively on issues related to
market making, ETFs, direct market or sponsored access, when issued securities, and trading in the grey markets. She also reviewed enforcement and examination matters involving broker-deals and securities markets. Valerie’s background also includes
working in Market Regulation at FINRA, where she focused on issues related to OATS reporting.