Securities, Commodities & Exchange Regulation

Foley’s Securities, Commodities & Exchange Regulation Practice comprises experienced and knowledgeable attorneys who provide legal advice to securities and commodities firms in all phases of their business.
The pervasive regulatory scheme of the federal and state securities laws, federal commodities laws, and self-regulatory rules affects almost every aspect of a regulated entity’s business. Therefore, our Securities, Commodities & Exchange Regulation attorneys partner with attorneys firmwide to provide you with a broad range of services, including mergers and acquisitions, public offerings, intellectual property, information technology, employment law, energy, and white collar crime.
We regularly counsel securities and commodities brokerage and proprietary trading firms, including national wirehouses, discounters, full-service regional firms, algorithmic computer-based trading firms, and investment banking boutiques; investment and commodity trading advisers; investment companies and commodity pools; hedge funds; alternative trading systems and electronic communication networks; securities and commodities exchanges; and securities and derivatives clearing organizations.

Representative Matters

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Represented an algorithmic trading firm in FINRA inquiry involving examination of message rates and related issues in connection with perceived "high frequency trading." Assisted client in responding to information and document requests. Participated in persuasive presentations to FINRA staff regarding the client's activities, after which FINRA closed the inquiry without action.
Represented a large broker-dealer in connection with a FINRA investigation of the client's policies and procedures for anti-money laundering (AML) compliance.
Foley represented a highly automated broker-dealer in connection with a FINRA investigation that dealt with trading practices and supervision. The FINRA staff pursued novel concepts as to the supervision of self trades and message rates.

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