Regulatory Practice

Our Regulatory Practice attorneys represents large institutional clients, futures commission merchants, broker-dealers and hedge funds, both U.S. and abroad. We assist clients with the formation and restructuring of their 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, the CFTC, NFA and the FSA, among others.