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Bruce C. Bennett

Partner

New York +1 212 841 1060

  • About
  • Representative Matters
  • Credentials
  • About

    Bruce Bennett represents domestic and global financial institutions and other market participants in global market transactions and regulations. Bruce’s work spans capital markets and futures and derivatives markets, including regulatory matters involving the SEC, FINRA, the CFTC and the prudential banking regulators. He also leads the firm’s efforts in representing issuers and derivatives dealers in convertible notes and other equity-linked product transactions in entering into equity derivatives hedging transactions, as well as in matters relating to the regulation of broker-dealers.

    Bruce co-chairs the firm’s Financial Services Group, is a Vice Chair of the firm’s Public Service Committee and is a member of the firm’s Diversity and Inclusion Committee.

    Areas of Expertise

  • Practices and Industries
  • Representative Matters
    • Represented a range of clients, including Uber Technologies, SoFi, Global Payments, Insulet Corporation, Dicks Sporting Goods, IAC/InterActive Corporation and certain IAC affiliates, in the entry into call spread and other equity derivatives transactions hedging concurrent issuances of convertible notes related early unwinds thereof, and other equity derivatives transactional and advisory matters.
    • Equity derivatives counsel to Cantor Fitzgerald, including in a call-spread transaction hedging an issuance of convertible notes by Kadmon Holdings.
    • Represented Trustmark National Bank in a series of transactional and advisory matters and ongoing work as advisor to management and the board on a wide range of matters.
    • Represented a major financial institution in restructuring its trading and markets operations under the Securities and Exchange Act and in structuring and executing a bespoke private fund for senior executives.
    • Represented Xiaomi Corporation in obtaining a preliminary injunction against enforcement by the Department of the Treasury and the Department of Defense of an Executive Order designating Xiaomi as a Communist Chinese Military Company (focusing on capital markets implications of such designation).
    • Represented SimCorp. on U.S. securities law aspects of its acquisition by Deutsche Börse.
    • Represented Banca Intesa Sanpaolo on U.S. securities law aspects of its hostile acquisition of UBI Banca.
    • Represented Natixis S.A. and its parent BPCE., S.A. in U.S. regulatory aspects of its sale of a significant interest in Coface S.A.
    • Represented Neptune Networks Ltd. in obtaining no-action relief from the SEC Division of Trading and Markets permitting the operation of fixed income electronic data communications systems without registration as a broker-dealer.
    • Represented Beltone Financial in FINRA aspects of its acquisition and subsequent disposal of Auerbach Grayson, an SEC-registered broker-dealer.
    • Represented The Alliance for Lifetime Income in SEC, FINRA and state insurance regulatory aspects of an annuity marketing program.
    • Represented UBS in obtaining an SEC Order permitting sales by clients of securities subject to an order under Section 12(j) of the Securities Exchange Act.

    Areas of Expertise

  • Credentials
    Education
    • University of Southern California Gould School of Law, J.D., 1983
        • Order of the Coif
        • Southern California Law Review, Articles Editor
    • University of California, Los Angeles, B.A., 1979
        • cum laude
    Bar Admissions
    • New York
    Memberships and Affiliations
    • Member, International Institute for Strategic Studies
    • Member of the New York City Bar Banking Law Committee, past Member of the New York City Bar Securities Regulation Committee and Financial Reporting Committee
    • Past Chair of the Board of Trustees and Past President, SEC Historical Society
    Previous Experience
    • General Electric Capital Corporation, Associate General Counsel - Treasury (1992-1998)

    Areas of Expertise

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