Broker-Dealer and Investment Advisor Regulation

We assist clients with the formation and structuring of their businesses, fund formation, required registrations, ongoing compliance obligations, and applying new and proposed regulations. Clients turn to us for guidance on the acquisition and disposition of their regulated businesses, preparing documentation for derivative transactions and employment-related matters. We also defend clients in connection with regulatory examinations and investigations; enforcement actions filed by regulatory agencies, including the SEC, CFTC, state securities regulators, national securities exchanges and self-regulatory organizations; and in securities related litigation. We also assist our clients protect their intellectual property rights to their proprietary trading strategies and systems.