Broker-Dealer Regulation

Broker-Dealer Regulation

Broker-Dealer Compliance and Regulation

Key Contacts


  • Investment Banks

    We have advised on equity and debt capital markets, syndicate practices, regulatory net capital, research issuance, market making and block trading in the secondary market, insider trading and code of conduct, conflicts of interest, electronic communications and recordkeeping, cross-border trading, structured products, Big Data and anti–money laundering, among other issues.
  • Hedge Funds

    Clients have turned to us for representation in matters relating to information barriers, data use, derivatives oversight and controls, convertible arbitrage and other trading strategies, short sale compliance, and securities enforcement.
  • Wealth Management

    Our work has spanned private banking products and services, margin and credit issues, financial planning and asset allocation, anti–money laundering, privacy, wrap fee programs, mutual fund distribution, sales practices and suitability policies.
  • Prime Brokers and Custodian Banks

    We have assisted clients in matters related to clearance and settlement, trade financing, securities lending, regulatory surveillance and reporting, counterparty insolvency, and foreign exchange operation.
  • Exchanges, ATSs and Other Trading Platforms

    We have worked with clients on matters related to market structure, exchange registration and governance, electronic communication networks and alternative trading systems, multi-dealer platforms, and currency trading agreements.