Securities, Commodities & Exchange Regulation

The pervasive regulatory scheme of the federal and state securities laws, federal commodities laws, and self-regulatory rules affects almost every aspect of a regulated entity’s business. Therefore, our Securities, Commodities & Exchange Regulation attorneys partner with attorneys firmwide to provide you with a broad range of services, including mergers and acquisitions, public offerings, intellectual property, information technology, employment law, energy, and white collar crime.

We regularly counsel securities and commodities brokerage and proprietary trading firms, including national wirehouses, discounters, full-service regional firms, algorithmic computer-based trading firms, and investment banking boutiques; investment and commodity trading advisers; investment companies and commodity pools; hedge funds; alternative trading systems and electronic communication networks; securities and commodities exchanges; and securities and derivatives clearing organizations.