Betsy T. Voter

Areas of Practice

Securities
Broker-Dealers and Investment Advisers
Corporations and other Business Entities
Commercial Transactions
Mergers and Acquisitions

Email

bvoter@klmrlaw.com

Betsy concentrates her practice in the areas of financial regulatory compliance, and corporate and securities law. Prior to joining KLMR she was legal counsel for a securities brokerage and clearing firm. Coming from the financial services industry, Betsy understands how to balance clients’ practical and operational needs within a regulatory environment, especially as they relate to the following areas:

  • outsourced compliance for broker-dealers and investment advisers
  • anti-money laundering compliance under the Bank Secrecy Act
  • development and implementation of written supervisory procedures
  • investment adviser and broker-dealer licensing and operations
  • SEC, FINRA, and state inquiries, examinations, and enforcement actions
  • business planning and structuring, entity selection and formation, contract preparation and review, and compliance with federal and state securities laws
  • corporate governance for public and private companies
  • preparing offering documents for public and private financings and periodic reports to comply with federal and state securities laws
  • structuring mergers, securities offerings and acquisitions

In addition to Utah, Betsy is also admitted to the state bars in Pennsylvania and New Jersey, and formerly held the FINRA Series 7 and 63 licenses.

Education

  • University of Utah, S.J. Quinney Law School, Juris Doctor – 2011 (with honors)
    • President, Women’s Law Caucus (2009-2010)
    • Student Director, Kid’s Court Pro Bono Project (2010-2011)
  • University of Utah, Bachelor’s Degree (Sociology) – 2008
    • Member, Phi Kappa Phi
    • Member, Golden Key National Honor Society
    • Member, Alpha Kappa Delta (International Sociological Honor Society)

Professional Activities

  • Utah State Bar
    • Member, Securities and Business Law Sections
    • Member, Women Lawyers of Utah
  • Pennsylvania State Bar
  • New Jersey State Bar
  • Presenter, “Special Topics in Rule 144,” Annual Securities Law Seminar of the Securities Section of the Utah Bar, July 2015