Ms. Pisarri specializes in regulatory issues pertaining to investment advisers, NRSROs (registered credit rating agencies) and service providers to the securities industry. In this regard, she advises clients on federal and state securities laws and rules, and related ERISA matters; processes registrations for financial market participants; designs compliance programs and assists with both internal compliance reviews and SEC compliance examinations; advances clients’ interests before regulatory and policy making bodies; and represents regulated entities in disciplinary proceedings. In addition, Ms. Pisarri speaks and writes extensively on securities regulatory issues.
Before joining Pickard Djinis and Pisarri in 1985, Ms. Pisarri was an associate at Cladouhos & Brashares in Washington, D.C., where she worked on a range of regulatory and international business matters. She also was involved in litigation in federal and state courts, including major customs litigation before the Court of International Trade.
Ms. Pisarri began her career as a law clerk for the Honorable John P. Wiese in the U.S. Court of Claims (now the U.S. Court of Federal Claims).
Bar Admissions and Other Memberships
Ms. Pisarri is admitted to practice law in New York State and the District of Columbia, as well as before the following federal courts: U.S. Court of Appeals for the Federal Circuit; U.S. Court of Appeals for the District of Columbia Circuit, Southern District of New York, and the U.S. Court of Federal Claims.
Cornell Law School, J.D., magna cum laude, 1980 (Order of the Coif)
St. Lawrence University, B.A., summa cum laude, 1977 (Phi Beta Kappa, Faculty Scholar)
Publications and Other Professional Activities
Author: Investment Adviser Compliance Guide, (published periodically).
Author: “Effecting Trades,” Chapter 9, and “Personal Trading Activities,” Chapter 13, C. Kirsch, Ed., Mutual Funds and Exchange Traded Funds Regulation (Practising Law Institute, Third Edition, 2015).
Author: “The New Landscape of Investment Adviser Custody,” The Review of Securities & Commodities Regulation, Vol. 43, No. 8 (April 21, 2010).
Author: “Regulatory Disclosure in the Electronic Age,” IAA Newsletter, Issue No. 204 (December 1, 2009).
Author: “Investment Adviser Advertising,” IAA Newsletter, Issue No. 190 (October 1, 2008).
Author: “Surviving an SEC Exam,” IAA Newsletter, Issue No. 178 (October 1, 2007).
Author: “The SEC’s New Soft-Dollar Guidance,” IAA Newsletter, Issue No. 166 (October 1, 2006).
Author: “Conducting an Annual Review,” IAA Newsletter, Issue No. 155 (November 1, 2005).
Author: “Raising the Bar: Investment Adviser Codes of Ethics,” The Review of Securities & Commodities Regulation, Vol. 38, No. 8 (April 20, 2005).
Author: “Designing a Comprehensive Compliance Program,” ICAA Newsletter, Issue No. 132, (December 10, 2003).
Author: “SEC Adopts New Proxy Voting Rules,” The Review of Securities & Commodities Regulation, Vol. 36, No. 11 (June 11, 2003).
Author: “When Two Worlds Collide: The Interplay Between Broker-Dealer and Investment Adviser Regulation,” The Review of Securities & Commodities Regulation, Vol. 35, No. 22 (December 25, 2002).
Author: “Personal Trading by Investment Advisors and Their Staffs,” Compliance Review, Vol. 10, Issue 6 (June, 2001).
Author: “Electronic Filing of Form ADV Through the IARD,” Compliance Review, Vol. 9, Issue 9 (October/November, 2000).
Author: “Personal Trading by Advisory Personnel: The Seven Deadly Sins,” The Review of Securities & Commodities Regulation, Vol. 33, No. 13 (July, 2000).
Author: “Recent SEC Action Regarding Investment Advisers,”The Review of Banking and Financial Services, Vol. 14, No. 11 (June 3, 1998).
Author: “The Investment Advisers Supervision Coordination Act,” The Review of Securities & Commodities Regulation, Vol. 30, No. 15 (September 10, 1997).
Author: “Federal Regulation of Soft-Dollar Practices,” The Review of Securities & Commodities Regulation, Vol. 28, No. 13 (July 1995).
Author: “The Arbitration Agreement,” Chapter 3, Securities Arbitration: Practice and Forms (Matthew Bender, 1991).
Faculty: IAA Investment Adviser Compliance Summit and Workshops (2000 – 2016).
Faculty: NRS 2010 and 2011 Professional Development and Desktop Seminars.
Faculty: NRS Investment Adviser and Broker-Dealer Compliance Conference (2009).
Faculty: American Law Institute – American Bar Association Advanced Course of Study on Investment Adviser Regulation (1995 – 2009).
Faculty: IAA Webcast, SEC Exams: How Advisers Should Prepare for Exams After the Madoff Scandal (2009).
Faculty: Adviser Compliance Associates, ACA University Webcast, Small Advisers (May 2006).
Faculty: IA Week, How to Build an Activist Compliance Program (2005).
Faculty: Adviser Compliance Associates Webcast, E-Mail Retention and Electronic Recordkeeping (2005).
Faculty: Financial Research Associates, Investment Adviser Compliance Forum (2003).
Faculty: Financial Research Associates, Managing the Investment Adviser Compliance Function. (2003).
Faculty: Institutional Investor News/Compliance Reporter, The Future of Advisers Act Regulation (2003).
Faculty: Institute for International Research, E-Compliance for Investment Advisors (2000).
Faculty: International Law Institute Course on Capital Markets: Development and Regulation (1991 – 1998).
Faculty: INTRADOS/International Management Group, Russian Securities and Exchange Training Seminar (1995).
Faculty: INTRADOS/International Management Group, Issues in Development Seminars on Securities Market Management in Emerging Economies (1993 – 1994).