Securities and Futures Regulation

Schiff Hardin is proud to have nationally recognized expertise in the regulation of securities and commodity exchanges and markets and the professional participants in those markets.

Our securities and futures regulation team has provided counsel to broker-dealers and futures traders and to the Chicago Board Options Exchange and Chicago Stock Exchange over the years. All members of the team maintain continuing relationships with key staff of:

The Securities and Exchange Commission (SEC)
The Commodity Futures Trading Commission (CFTC)
The Board of Governors of the Federal Reserve System
The New York Stock Exchange (NYSE)
The Financial Industry Regulatory Authority (FINRA)
The National Futures Association (NFA)
Other self-regulatory organizations

We counsel major, full-service securities firms, equity and options market-making units, retail firms, securities markets, electronic and Internet-based trading systems, futures commission merchants, investment advisers, and hedge funds on all aspects of their operations, including federal and state regulatory requirements, and the rules of self-regulatory organizations. Our lawyers also have hands-on experience in dealing with securities and commodities enforcement matters.