Securities Regulatory Investigations and Examinations

We frequently defend broker-dealers, hedge funds and other financial institutions in examinations and investigations conducted by the SEC, FINRA, NYSE, CFTC, NFA and other regulators. Several members of the practice group are also members of the firm’s Securities Litigation and SEC Enforcement practice groups and focus on regulatory enforcement and securities class action litigation. They include a former co-head of enforcement for the SEC’s Northeast Regional Office and nationally recognized lawyers in clearing, prime brokerage and escheat issues.

When defending a financial institution in a regulatory investigation, the practice group brings a distinct combination of securities enforcement and litigation strength, teamed up with sophisticated subject-matter experience of other professionals. Through teams combining litigators with regulatory experts, Sidley has defended regulated financial institutions in numerous SEC or SRO investigations involving issues such as gifts and gratuities, prospectus delivery, mutual fund B shares, Regulation SHO and other short-sale issues, trade reporting, proprietary trading and other issues.

• Extension of Temporary Registration Rule for Municipal Advisors
  December 28, 2011
• SEC Proposes New Rule 506(c) under the Securities Act of 1933 to Implement “Bad Actor” Disqualifications under Section 926 of Dodd-Frank
  June 13, 2011

• Sign up for Sidley Updates
  

• California Amends Escheat Statute in Response to Federal Court Injunction Prohibiting the State from Accepting Delivery of Unclaimed Property
  November/December 2007