The Regulatory Practice Group represents primarily futures commission merchants, broker-dealers and hedge funds, both U.S. and non-U.S.

The Regulatory Practice Group’s representations focus on the following key areas:

• SEC, CFTC, NFA and FINRA registration and compliance issues, including investment advisor, commodity pool operator and commodity trading advisor registration
• SEC audit compliance programs and training seminars
• Advice on trading rules and compliance
• Insider trading advice
• Schedule 13D, 13G, 13F and Section 16 filings
• Soft dollar use and best execution practices
• SEC audit, investigations and enforcement proceedings