Trina L. Glass

Special Counsel

  • Trina L. Glass
  • Phone: +1 973 424 2068

    Import to Address Book

  • Duane Morris LLP
    200 Campus Drive, Suite 300
    Florham Park, NJ 07932-1007
    USA

Trina L. Glass practices in the area of corporate law. Ms. Glass has experience with investment funds, specifically advising and representing investment companies, investment advisers and broker-dealers on matters arising under the U.S. federal securities law, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934 and related rules and regulations, as well as state privacy regulations.

More specifically, Ms. Glass advises clients on regulatory and compliance requirements related to securities filings, regulatory analysis, books and records requirements, due diligence reviews, conflicts of interest analysis/disclosures and regulatory investigations. She also counsels clients on risk mitigation strategies, privacy and cybersecurity policies and best practices, and written supervisory and compliance policies and procedures. Ms. Glass provides counsel and guidance in connection with regulatory inquiries and exams and conducts SEC mock audits, annual compliance and risk reviews and cybersecurity and incident response exercises. Her clients include established and emerging fund managers, registered and new investment advisers, broker-dealers and other financial services firms.

Ms. Glass has extensive experience with regulatory and compliance matters for investment funds, including private equity and hedge funds. Her practice includes the formation of private funds and implementation of their ongoing compliance programs, including significant experience with federal, state and local "pay-to-play" rules and the SEC's Marketing Rule for investment advisers.

Prior to joining Duane Morris, Ms. Glass gained extensive experience as Regulatory Compliance Counsel to a leading global clearing broker-dealer, asset management firms and two Am Law 200 law firms. Ms. Glass also managed a global regulatory compliance team that led efforts in designing and implementing regulatory intelligence platforms, ensuring a sufficient enterprise-wide supervisory structure and compliance oversight program, while assessing GDPR/privacy readiness and other legal and regulatory enterprise risks. Ms. Glass also has regulatory experience from Financial Industry Regulatory Authority (FINRA) and the State of New Jersey Office of the Attorney General.

Representative Matters

  • Counseling dual registered broker-dealer and investment adviser with approximately $12 billion in assets under management concerning filings and other regulatory matters, including cross-border transactions, registration issues, marketing review and disclosures, conflict of interest disclosures and Form CRS and Regulation Best Interest disclosures.

  • Advised SEC registered investment adviser with $2.8 billion in assets under management on regulatory matters, including Form ADV filings, disciplinary reporting/disclosure, guidance on marketing materials and SEC investigation.

  • Managed regulatory exams for funds, investment advisors and investment managers, including preparing responses to information requests and deficiency letters.

  • Conducted privacy impact assessments and reviews, and drafted privacy policies, for funds, investment advisors and investment managers.

  • Conducted annual compliance reviews and risk assessments for funds, investment advisors and investment managers.

  • Assisted with due diligence during fund formation and prepared all related regulatory filings (e.g., Form D, Blue Sky and Form ADV).

Areas of Practice

  • Private Equity
  • Fund Formation
  • Compliance
  • Securities Law

Admissions

  • New Jersey
  • U.S. District Court for the District of New Jersey

Education

  • Rutgers Law School, J.D., 2003
  • North Carolina Central University, B.B.A., cum laude, 1994

Experience

  • Duane Morris LLP
    - Special Counsel, 2023-present
  • Stark & Stark
    - Shareholder

Honors and Awards

  • Elected to the Garden State Bar Association Board of Directors, 2023-2024
  • Association of Black Women Lawyers of NJ Gala Honoree 2023
  • Named to The Lawyers of Color's "Wonderful Women List," 2023

No aspect of these rankings has been approved by the Supreme Court of New Jersey. Further information on methodologies is available via these links.

Professional Activities

  • New Jersey State Bar Association’s Task Force on Artificial Intelligence in the Law
  • Chair of the New Jersey State Bar Association Privacy Law Committee

Selected Publications

Media Hits

  • Quoted, “Practice Innovations: The Real Risk of Ransomware in 2022 and Beyond,” Thomson Reuters, July 2022

Selected Speaking Engagements

  • Moderator, "Technology - Protecting Client Data. Cybersecurity Best Practices for the Wealth Management Industry," Association of African-American Financial Advisors VISION Conference 2023, September 15, 2023
  • Moderator, "The Impact of AI on Privacy Law," September 11, 2023
  • Panelist, "In An Uncertain Regulatory Environment; Securities Law and Regulatory Compliance 2023 and Beyond," NBA Corporate Law Section CLE, August 2, 2023
  • Panelist, "Navigating SEC Rules and Regulations: Compliance and Best Practices for Financial Professionals," V.I.S.I.O.N. Lite Regional Conference, June 21, 2023

  • Speaker, National Bar Association Annual Convention, July 27, 2022

  • Presenter, “Cybersecurity Audit by SEC: What to Expect,” National Association of Personal Financial Advisors Spring Conference, May 5-7, 2022

  • Presenter, “How to Prevent Client Issues in an SEC Exam,” National Association of Personal Financial Advisors, February 3, 2022

  • Presenter, “Form ADV – Getting it Done Right,” Stark & Stark Institute of Continued Education Webinar, January 13, 2022

  • Presenter, “Fall Compliance Clean-Up,” Stark & Stark Institute of Continued Education Webinar, October 14, 2021

  • Presenter, “Data Privacy Tidal Wave: Covid-19, CPRA, CCPA, Privacy Shield and What to Tell Your Management Panel,” Corporate Counsel Women of Color, September 30, 2020

  • Presenter, “Fall Compliance Clean-Up,” Stark & Stark Institute of Continued Education, October 14, 2021

  • Presenter, “Hot Topics in Whistleblower Protection,” Corporate Counsel Women of Color, September 22, 2021

  • Panelist, “Seeking Certainty in an Uncertain Regulatory Environment; Securities Law and Regulatory Compliance 2021 and Beyond,” National Bar Association’s 96th Annual Convention, July 26, 2021