David A. Cohen
About David A. Cohen
David A. Cohen serves as Senior Counsel at the US Securities and Exchange Commission, where he provides legal guidance on the Bank Secrecy Act in relation to the securities industry. He holds a J.D. from Boston University School of Law and a Bachelor's degree from The Wharton School.
Work at U.S. Securities and Exchange Commission
David A. Cohen has served as Senior Counsel at the U.S. Securities and Exchange Commission (SEC) since 2013. In this role, he provides legal interpretation and guidance on complex legal issues related to the enforcement of the Bank Secrecy Act (BSA) as it pertains to the securities industry. His responsibilities include analyzing and assessing Suspicious Activity Reports to determine their suitability for further investigation. Additionally, he develops guidance on novel and sensitive issues involving the use of BSA information in the enforcement of federal securities laws.
Education and Expertise
David A. Cohen earned his Doctor of Law (J.D.) degree from Boston University School of Law, where he focused on Banking, Corporate, Finance, and Securities Law. He also holds a Bachelor's degree from The Wharton School, where he studied Economics and Political Science. His educational background equips him with a strong foundation in legal and financial principles, enhancing his expertise in the regulatory aspects of the securities industry.
Background
Before joining the SEC, David A. Cohen worked as the Assistant Director of Government Relations at the Financial Planning Association from 2008 to 2012 in the Washington D.C. Metro Area. Prior to that, he served as Supervising Attorney at the Wisconsin Department of Financial Institutions, Division of Securities, from 1990 to 2008 in the Madison, Wisconsin Area. His extensive experience in both government and regulatory roles has contributed to his proficiency in legal matters related to the financial sector.
Achievements
Throughout his career, David A. Cohen has been involved in significant legal interpretations and guidance concerning the enforcement of the Bank Secrecy Act within the securities industry. His work at the SEC includes developing guidance on complex issues related to BSA information and its application in federal securities law enforcement. His analytical skills in assessing Suspicious Activity Reports have also played a crucial role in regulatory investigations.