Securities + Derivatives Regulatory Solutions

MoFo’s Securities and Derivatives Regulatory Solutions team brings together lawyers with decades of subject matter experience across a full range of regulatory matters and related compliance issues arising in the global securities, commodities, and derivatives markets.

We pride ourselves on providing tailored, practical, and innovative solutions to companies seeking to strategically address their regulatory requirements, including:

• broker-dealers;
• investment advisers;
• private and registered funds and alternative structures;
• exchanges;
• alternative trading systems;
• clearing organizations;
• transfer agents;
• funding portals;
• financial intermediaries;
• swap dealers and security-based swap dealers; and
• commodity pool operators and commodity trading advisors.

We routinely advise clients on product development, issues relating to marketing and advertising rules applicable to investment advisers and broker-dealers, the net capital rules, sales and trading practices, AML requirements, books and records, various regulatory aspects of derivative transactions, commodity advisors and commodity trading rules, digital asset products and transactions, and matters relating to distributed ledger technology and blockchain and associated transactions and digital assets.

We regularly provide counsel to non-SEC/CFTC-regulated entities regarding available exemptions and restrictions applicable to their business operations. Our clients bring us their most complex regulatory challenges, including cross-border compliance and transactions.

Our team includes former government regulators and lawyers from major financial institutions who represent clients that fall under the regulatory jurisdiction of the SEC, CFTC, NFA, and/or FINRA and similar state or non-U.S. regulators. We leverage our deep industry and regulatory knowledge, experience, and relationships to effectively navigate technical compliance and regulatory obligations in light of changing market and business requirements, all while empowering our clients to reach and surpass their business objectives.