Securities and Futures Regulatory

Sidley's Securities and Futures Regulatory practice has more than 25 partners and counsel spanning our offices in the United States, Europe and Asia. Our lawyers include former officials from the SEC, FINRA and other regulators, plus former senior in-house counsel from major financial institutions. Lawyers in this practice group represent major investment banks, broker-dealers, futures commission merchants, commercial banks, insurance companies, hedge fund complexes and exchanges, both U.S. and non-U.S.

Drawing from its breadth and depth, Sidley’s Securities and Futures Regulatory group handles a wide spectrum of matters - assisting clients with the formation and restructuring of their businesses and the acquisition of new businesses; counseling on general compliance, proposed laws and regulations and regulatory trends; representing clients on securities and derivatives transactions; and defending firms in regulatory inquiries and enforcement proceedings. Through decades of experience, we have built strong working relationships with regulators, including the SEC, NYSE, FINRA, the MSRB, State securities regulators, the CFTC, NFA and the FSA, among others.

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