(212) 710-0000
575 Madison Avenue, New York, New York 10022
Practice Areas
Investments and Finance
Litigation
Regulatory
Strategic Affairs
Corporate
Tax
Intellectual Property
Real Estate
Trusts & Estates
  • Certified as a Minority Owned Business Enterprise
  • Both Commercial as well as Legal Expertise
  • Public and Institutional Client Base

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.