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Shane B.
Hansen

  • Partner

Clients appreciate that I want them to understand not only the what but the why of securities regulations and their role in dictating how business must be conducted. I’m told I’m good at simplifying complex information, breaking it into fairly easily understood concepts and translating legalese into commonly used English language. Because of these communication skills, my legal acumen and ability to cultivate and maintain strong relationships, clients trust me and repeatedly turn to me for help.

Shane Hansen focuses his practice on the financial services regulation of banks, broker-dealers, investment advisers, private fund advisers, financial planners and money managers. Representing organizations across the country, he regularly advises clients about business, corporate, banking and securities laws and regulations. Shane possesses not only a thorough working knowledge of federal, state and FINRA regulation of their businesses, but also the current and historical perspectives that come from working with broker-dealers, investment advisers and securities industry participants for nearly 40 years. Drawing on his deep well of knowledge, he consistently delivers effective and efficient client service.

Securities Industry

  • Regulation of broker-dealers, M&A advisors, intermediaries and business brokers.
  • Regulation of investment advisers.
  • Extensive work with the SEC, state securities regulators and FINRA dealing with regulatory examinations, investigations and enforcement issues.
  • Mergers and acquisitions of broker-dealers and investment advisers.
  • Purchase and sale of broker and investment adviser representative practices.
  • FINRA New and Continuing Membership Applications.
  • Legal and compliance issues affecting broker-dealers and investment advisers.
  • Drafted wide range of service agreements between broker-dealers and vendors including, for example, clearing agreements, bank-brokerage net

Securities Industry

  • Regulation of broker-dealers, M&A advisors, intermediaries and business brokers.
  • Regulation of investment advisers.
  • Extensive work with the SEC, state securities regulators and FINRA dealing with regulatory examinations, investigations and enforcement issues.
  • Mergers and acquisitions of broker-dealers and investment advisers.
  • Purchase and sale of broker and investment adviser representative practices.
  • FINRA New and Continuing Membership Applications.
  • Legal and compliance issues affecting broker-dealers and investment advisers.
  • Drafted wide range of service agreements between broker-dealers and vendors including, for example, clearing agreements, bank-brokerage networking relationships, and registered representative agreements.
  • Drafting client service contracts and representative agreements.
  • Regulatory investigations and examination responses.
  • Establishment of bank-brokerage networking and joint marketing relationships.
  • Formation, registration, and regulation of broker-dealers and investment advisers.
  • Advising firms regarding Regulation S-P, Consumer Financial Privacy and Information Security.
  • Preparing for and responding to regulatory inspections, investigations, complaints and inquiries.
  • Principal author of U.S. H.R. 2274 – S. 1923 The Small Business Mergers, Acquisitions, and Sales Brokerage Simplification Act.
  • Testified before the U.S. House Financial Services Committee about M&A broker regulation and legislation.

Banking Industry

  • Acquisitions and sales of bank holding companies, banks and thrifts, and branches.
  • Analysis of anticompetitive effects of proposed bank mergers and acquisitions.
  • Analysis of banking powers and regulations governing various banking-related investments and activities.
  • Contract drafting, reviews, analyses, and negotiations creating and terminating various vendor relationships.
  • Corporate consolidations and reorganizations of banks and their subsidiaries.
  • Counsel in six one-bank holding company formations and six bank subsidiary mortgage company formations.
  • Counsel on bank regulatory issues involving late trading and market timing by hedge funds, including negotiations with the Office of the Comptroller of the Currency.
  • Extensive work with federal and state banking regulators on a wide range of bank regulatory issues.
  • Purchases and sales of lines of banking business and related assets and liabilities (credit card and merchant processing portfolios).
  • Lead counsel for the acquisition and corporate restructuring of a $250 million thrift, including the first thrift-bank merger authorized under Illinois law.
  • Lead counsel for the sale of a $100+ million bank, including contract negotiations and closing.
  • Lead counsel in acquiring a failed thrift from the Resolution Trust Corporation.
  • Lead counsel in the sale of a $16.5 million merchant processing line of business and the establishment of a strategic relationship for marketing future business.
  • Lead counsel in the sale of a $300 million credit card portfolio; prepared and negotiated purchase and sale contract documentation.
  • Purchases and sales of various types of mortgage loan and mortgage servicing portfolios.
  • Responsible for corporate consolidations and reorganizations of over 35 banks and their subsidiaries for various bank holding companies.
  • Responsible for preparing and negotiating contract documentation in 20+ portfolio purchases or sales and forward commitments for mortgages, mortgage. servicing, automobile loans, marine loans and student loans.
  • Responsible for purchase and sale transactions involving 30+ bank and thrift branches with total assets and liabilities over $700 million.
  • Securities offerings by banks and bank holding companies.
  • Formations of banks, bank holding companies, mortgage companies and other subsidiaries.
  • Speaker, “Cryptocurrencies – An Introduction,” SBAM Annual Meeting, June 16, 2022 (Presentation Slides)
  • Speaker, “Rollovers and the Revived DOL Fiduciary ‘Rule’,” Warner Webinar, May 24, 2022
  • Speaker, “SEC Exams During COVID-19,” Warner Virtual CCO Roundtable, June 2, 2021
  • Speaker, “The Modernized Marketing Rule,” Warner Virtual CCO Roundtable, March 3, 2021
  • Speaker, 2019 Michigan Department of Licensing and Regulatory Affairs Securities Seminar, “New Michigan Rules,” March 13, 2019 (Video)
  • Speaker, 2018 Midwest Securities Law Institute, October 8, 2018, East Lansing, MI (Presentation Slides)
  • Speaker, 2017 Midwest Securities Law Institute, October 6, 2017, East Lansing, MI (Presentation Slides)
  • Speaker, MBA Risk Management and Compliance Institute, September 13-15, 2017, Lansing, MI (Presentation Slides)
  • Speaker, AM&AA Winter Conference, Legislative Update, January 27, 2015, Las Vegas, NV
  • Speaker, Unv. of Texas Law School, 37th Annual Securities Institute, M&A Broker Regulation, February 12, 2015, Dallas, TX
  • Speaker, Michigan Corporations and Securities Bureau, Cybersecurity, May 18, 2015, Lansing, MI
  • Speaker, Investment Advisers Association, Compliance Program Annual Review, July 22, 2015, Chicago, IL
  • Speaker, AM&AA Summer Conference, M&A Broker Legislative Update, August 8, 2015, Chicago, IL
  • Moderator, Investment Adviser Panel, MSU Law School, Midwest Securities Institute, October 21, 2015, East Lansing, MI
  • Financial Planning Assn. of MI presentation, Cybersecurity, October 23, 2014, Novi, MI
  • Financial Planning Assn. of MI (GR Chapter) presentation, Due diligencing subadvisors, October 7, 2014, Grand Rapids, MI
  • NASAA Annual Meeting, Cybersecurity Program Panelist, September 15, 2014, Indianapolis, IN
  • NASAA Investment Adviser Section Training Presentation, Due diligencing subadvisers, August 2014, St. Louis, MO
  • AM&AA Summer Conference, Legislative Update, July 24, 2014, Chicago, IL
  • Moderator AM&AA-IBBA-M&A Source national webinar featuring SEC Trading and Markets Chief Counsel on the SEC’s new M&A broker no-action letter, March 18, 2014
  • Panelist on M&A Source national webinar on the SEC’s new M&A broker no-action letter, February 19, 2014
  • Testimony, H.B. 5273, local stock exchanges, Michigan House of Representatives Commerce Committee, February 12, 2014
  • Speaker, Investment Advisers Association 2013 Compliance Workshop, November 20, 2013, Chicago, IL
  • Speaker, Michigan Business Brokers Association (MBBA), Securities Regulation of M&A Brokers, September 10, 2013, Grand Rapids, MI
  • Speaker, AM&AA Summer Conference, M&A broker legislative update, July 10, 2013, Chicago, IL
  • Speaker, International Merger & Acquisition Partners (IMAP), Cross-border Securities Regulation, April 12, 2013, Chicago, IL
  • Speaker, Investment Advisers Association, 2013 Compliance Conference, March 7, 2013, Washington D.C.
  • Dodd Frank’s Impact on M&A Brokers, Alliance of Merger & Acquisition Advisors, July 10-11, 2012
  • Mitigating Liability of M&A Brokers, M&A Source Summer Conference, June 5, 2012
  • Securities Regulation of Business Brokers, Michigan Business Brokers, April 20, 2012
  • National Regulatory Services Webinar, Investment Advisers Association, February 23, 2012
  • Securities Regulation of M&A Brokers, AM&AA Winter Conference, January 17, 2012

Shane Hansen has made presentations for:

  • National Society of Compliance Professionals
  • Investment Advisers Association
  • Michigan Bankers Association Programs
  • North American Securities Administration Association (NASAA) Corporate Finance Section
  • State Bar of Michigan, Financial Institutions Committee
  • State Bar of Michigan Business Law Section
  • Financial Planning Association of Michigan
  • Pransky’s Finding for Finders—Michigan Investors, Not So Much,” The Michigan Business Law Journal, Spring 2017
  • “Cybersecurity Risks, Regulation, and Resources,” NSCP Currents, December 2015
  • “Cybersecurity Risks, Regulation, and Resources,” Michigan Business Law Journal, Fall 2015
  • “Simplifying Securities Regulation of M&A Intermediaries and Business Brokers (Finders) in the Sale of Privately Owned Businesses,” Michigan Business Law Journal,
Image for Shane B. Hansen

Shane B.
Hansen

  • Partner
Grand Rapids

My admin

Clients appreciate that I want them to understand not only the what but the why of securities regulations and their role in dictating how business must be conducted. I’m told I’m good at simplifying complex information, breaking it into fairly easily understood concepts and translating legalese into commonly used English language. Because of these communication skills, my legal acumen and ability to cultivate and maintain strong relationships, clients trust me and repeatedly turn to me for help.

Shane Hansen focuses his practice on the financial services regulation of banks, broker-dealers, investment advisers, private fund advisers, financial planners and money managers. Representing organizations across the country, he regularly advises clients about business, corporate, banking and securities laws and regulations. Shane possesses not only a thorough working knowledge of federal, state and FINRA regulation of their businesses, but also the current and historical perspectives that come from working with broker-dealers, investment advisers and securities industry participants for nearly 40 years. Drawing on his deep well of knowledge, he consistently delivers effective and efficient client service.

  • Speaker, “Cryptocurrencies – An Introduction,” SBAM Annual Meeting, June 16, 2022 (Presentation Slides)
  • Speaker, “Rollovers and the Revived DOL Fiduciary ‘Rule’,” Warner Webinar, May 24, 2022
  • Speaker, “SEC Exams During COVID-19,” Warner Virtual CCO Roundtable, June 2, 2021
  • Speaker, “The Modernized Marketing Rule,” Warner Virtual CCO Roundtable, March 3, 2021
  • Speaker, 2019 Michigan Department of Licensing and Regulatory Affairs Securities Seminar, “New Michigan Rules,” March 13, 2019 (Video)
  • Speaker, 2018 Midwest Securities Law Institute, October 8, 2018, East Lansing, MI (Presentation Slides)
  • Speaker, 2017 Midwest Securities Law Institute, October 6, 2017, East Lansing, MI (Presentation Slides)
  • Speaker, MBA Risk Management and Compliance Institute, September 13-15, 2017, Lansing, MI (Presentation Slides)
  • Speaker, AM&AA Winter Conference, Legislative Update, January 27, 2015, Las Vegas, NV
  • Speaker, Unv. of Texas Law School, 37th Annual Securities Institute, M&A Broker Regulation, February 12, 2015, Dallas, TX
  • Speaker, Michigan Corporations and Securities Bureau, Cybersecurity, May 18, 2015, Lansing, MI
  • Speaker, Investment Advisers Association, Compliance Program Annual Review, July 22, 2015, Chicago, IL
  • Speaker, AM&AA Summer Conference, M&A Broker Legislative Update, August 8, 2015, Chicago, IL
  • Moderator, Investment Adviser Panel, MSU Law School, Midwest Securities Institute, October 21, 2015, East Lansing, MI
  • Financial Planning Assn. of MI presentation, Cybersecurity, October 23, 2014, Novi, MI
  • Financial Planning Assn. of MI (GR Chapter) presentation, Due diligencing subadvisors, October 7, 2014, Grand Rapids, MI
  • NASAA Annual Meeting, Cybersecurity Program Panelist, September 15, 2014, Indianapolis, IN
  • NASAA Investment Adviser Section Training Presentation, Due diligencing subadvisers, August 2014, St. Louis, MO
  • AM&AA Summer Conference, Legislative Update, July 24, 2014, Chicago, IL
  • Moderator AM&AA-IBBA-M&A Source national webinar featuring SEC Trading and Markets Chief Counsel on the SEC’s new M&A broker no-action letter, March 18, 2014
  • Panelist on M&A Source national webinar on the SEC’s new M&A broker no-action letter, February 19, 2014
  • Testimony, H.B. 5273, local stock exchanges, Michigan House of Representatives Commerce Committee, February 12, 2014
  • Speaker, Investment Advisers Association 2013 Compliance Workshop, November 20, 2013, Chicago, IL
  • Speaker, Michigan Business Brokers Association (MBBA), Securities Regulation of M&A Brokers, September 10, 2013, Grand Rapids, MI
  • Speaker, AM&AA Summer Conference, M&A broker legislative update, July 10, 2013, Chicago, IL
  • Speaker, International Merger & Acquisition Partners (IMAP), Cross-border Securities Regulation, April 12, 2013, Chicago, IL
  • Speaker, Investment Advisers Association, 2013 Compliance Conference, March 7, 2013, Washington D.C.
  • Dodd Frank’s Impact on M&A Brokers, Alliance of Merger & Acquisition Advisors, July 10-11, 2012
  • Mitigating Liability of M&A Brokers, M&A Source Summer Conference, June 5, 2012
  • Securities Regulation of Business Brokers, Michigan Business Brokers, April 20, 2012
  • National Regulatory Services Webinar, Investment Advisers Association, February 23, 2012
  • Securities Regulation of M&A Brokers, AM&AA Winter Conference, January 17, 2012

Shane Hansen has made presentations for:

  • National Society of Compliance Professionals
  • Investment Advisers Association
  • Michigan Bankers Association Programs
  • North American Securities Administration Association (NASAA) Corporate Finance Section
  • State Bar of Michigan, Financial Institutions Committee
  • State Bar of Michigan Business Law Section
  • Financial Planning Association of Michigan
  • Pransky’s Finding for Finders—Michigan Investors, Not So Much,” The Michigan Business Law Journal, Spring 2017
  • “Cybersecurity Risks, Regulation, and Resources,” NSCP Currents, December 2015
  • “Cybersecurity Risks, Regulation, and Resources,” Michigan Business Law Journal, Fall 2015
  • “Simplifying Securities Regulation of M&A Intermediaries and Business Brokers (Finders) in the Sale of Privately Owned Businesses,” Michigan Business Law Journal,