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.

The information on this website is for general information purposes only. Nothing on this site should be taken as legal advice for any individual case or situation. This information is not intended to create, and receipt or viewing does not constitute, an attorney-client relationship.

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  • Certified as a Minority Owned Business Enterprise
  • Both Commercial as well as Legal Expertise
  • Public and Institutional Client Base