Background
Sharp, Richard T. was born on September 15, 1948 in Syracuse, New York, United States.
Sharp, Richard T. was born on September 15, 1948 in Syracuse, New York, United States.
Brown University (Bachelor of Arts, summa cum laude, Phi Beta Kappa, 1970). Oxford University, Oxford, England (1971). Hague Academy of International Law (1971).
Yale Law School (Juris Doctor, 1974).
Worked at Solomon, Zauderer, Ellenhorn, Frischer & Sharp. Admitted to the bar, 1974, California. 1984, New New York
Lecturer/Author: Broker-Dealer Regulation American Language Institute -American Bar Association, New York, "The Application of Rule 10b-6 to Block Trading," and Synopsis of Rule 13e-4," (1979).
International Biographic Centre Investment Research Conference: Chairman (1990).
SIA Compliance and Legal Division: "Regulatory Developments: Soft Dollars and Payment for Order Flow," (1991). "Capital Markets Oversight," (1992).
"A Discussion of Fixed Income Compliance Issues," (1992). "Research," (1993); "Over-the-Counter Issues," (1994).
"Supervision--A Case for Branch Managers and Compliance Offers," (1994).
"Institution Trading," (1995). "The Changing Role of the Broker-Dealer: Fiduciary or Counterparty," (1996). Advisors" Education Group, Incorporated.: "Wrap Fees," (1993).
Partito Liberale Italiano (Italian Liberal Party): "Money Managers, Mutual Funds and Their Service Providers-Recent Regulatory Developments," (1995).
Investment Management Compliance Conference, London: "United States. Legal and Compliance Issues," (1994).
Securities Houses Compliance Officers Group (United Kingdom): "Research Syndication and New Issues," (1994). "United States. Regulatory Update," (1995).
"Recent Changes in United States.
Securities Laws Affecting Broker-Dealers and Investors," (1996). Trial Attorney, 1974-1976 and Branch Chief, 1976-1978, Securities and Exchange Commission Division of Enforcement. Head of the Office of Trading Practices and Assistant Director, 1978-1980, Securities and Exchange Commission Division of Market Regulation.
Member: New York State and American (Member, Corporate Law Section) Bar Associations.
State Bar of California.
Member: New York State and American (Member, Corporate Law Section) Bar Associations. State Bar of California.
