Capabilities / Securities & Commodities Regulatory & Enforcement
Standing beside our clients.
麻豆十三女郎 provides comprehensive securities and commodities regulatory counsel, advising clients on governance, compliance, examinations, investigations, and enforcement across federal and state regulatory regimes. Our team includes attorneys with deep industry experience, including former federal securities and commodities regulators. We advise institutions and individuals on day-to-day regulatory compliance, supervisory frameworks, and strategic business initiatives, and represent them in enforcement matters before the U.S. Securities & Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the U.S. Commodity Futures Trading Commission (CFTC), and state regulators. Our guidance helps clients anticipate regulatory scrutiny, manage risk, and respond effectively when issues arise.
Securities
We advise broker-dealers, investment advisers, public companies, financial institutions, and senior executives on federal and state securities regulations. Our work spans compliance program design, supervisory frameworks, examination readiness, and regulatory reporting, as well as enforcement actions brought by the SEC, FINRA, and state securities regulators. We regularly handle matters involving investment banking activities, trading activities, anti-money laundering, advertising, sales practices, disclosure obligations, books and records obligations, and related complex internal reviews.
Commodities & Derivatives
We counsel trading firms, commodity pool operators, swap participants, end users, and financial institutions operating in futures, swaps, foreign exchange, digital assets, and other derivatives markets. Our experience includes regulatory compliance, governance, examinations, and enforcement matters before the CFTC and related authorities. We represent clients in investigations involving market conduct, sophisticated trading strategies, and cross-border activity, providing strategic counsel grounded in deep regulatory insight and an understanding of complex trading environments.
Related Litigation
Where regulatory scrutiny escalates into disputes, we coordinate across agencies, courts, and arbitration forums. We advise clients on how regulatory developments may shape related litigation, including customer disputes, commercial litigation, and other parallel proceedings. Our integrated approach helps clients manage legal exposure across forums while navigating an increasingly complex financial regulatory landscape.