Securities and Commodities Regulation

Particularly since the Gramm-Leach-Bliley Act, banks and their affiliates have found themselves increasingly subject to the laws that govern the securities investment and trading activities of businesses generally.

Schiff Hardin's Securities and Futures Regulation group includes attorneys who are former senior-level Securities and Exchange Commission (SEC) lawyers and officials. These lawyers work with:

Broker-dealer and investment adviser compliance issues
Securities alternative trading systems
Issues with respect to securities offerings over the Internet
Soft-dollar issues
Other issues arising under federal and state securities laws.

We also work with the requirements under the Commodity Exchange Act that apply to commodity trading advisers.

We can advise on all matters involved in the development of money management services, including the set-up, registration and operation of an adviser and addressing disclosure, custody, soft-dollar, performance presentation and conflict of interest issues. We draft and review advisory agreements and other documents and assist our clients in obtaining formal and informal interpretations from the SEC's Division of Investment Management and in responding to concerns raised by SEC examinations.

Attorney Advertising Notice

Schiff Hardin LLP is a general practice law firm representing clients across the United States and around the world. We have more than 400 attorneys in offices located in Atlanta, Boston, Chicago, Lake Forest, New York, San Francisco and Washington. Our attorneys are strong advocates and trusted advisers — roles that contribute to many lasting client relationships.