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FINRA Investigation of Options Trading Represented a highly automated market maker in connection with a FINRA investigation of the client's options trading.
CME Investigation Represented a leading commodity broker-dealer in a Chicago Mercantile Exchange (CME) investigation focused on whether traders ran ahead of clients' block trades.
Current Yield Exchange Traded Fund Engaged by Bear Stearns Asset Management to develop and obtain regulatory approval for this actively managed fixed income ETF. The approval of this ETF was groundbreaking...
Currency Shares This was the first foreign currency-based ETF. Foley was instrumental in designing the product and obtaining regulatory approval from the SEC. The ETF shares represent...