Regulatory Practice

Our Regulatory Practice attorneys represent large institutional clients, futures commission merchants, broker-dealers and hedge funds, both U.S. and abroad. We assist clients with the formation and structuring of their regulated businesses and the acquisition of new businesses; counsel on general compliance, proposed laws and regulations and regulatory trends; represent clients on securities and derivatives transactions; and defend firms in regulatory inquiries and enforcement proceedings. Through decades of experience, we have built strong working relationships with regulators, including the SEC, NYSE, NASD, the MSRB, State securities regulators, CFTC, NFA and FSA, among others.