Our Securities Trading and Markets practice attorneys represent market participants in all aspects of registration and regulatory compliance with rules and regulations promulgated under the Securities Exchange Act of 1934. 

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Overview

Our Securities Trading and Markets practice attorneys represent market participants in all aspects of registration and regulatory compliance with rules and regulations promulgated under the Securities Exchange Act of 1934. 

We provide in-depth counsel and insightful solution-based guidance that fosters innovation and supports compliance for broker-dealers, clearing agencies, exchanges, transfer agents, investment advisers, banks and issuers.

Our broad experience includes advising clients on the following:

  • Broker-dealer registrations
    • Business expansions and changes of control
    • New membership and continuing membership applications
    • Issues regarding registered representative licensure
    • State notices and approvals
    • Assistance with FINRA materiality consults
    • Bank issues related to Reg R
    • Avenues avoiding broker-dealer registration
  • Broker-dealer regulatory and compliance
    • Financial responsibility rules
    • Trading practice rules
      • Reg SHO, Reg M, Rule 15c2-11, Rule 14e-4, trading suspensions, halts and chills
      • OATS, CAT and Trade reporting compliance
      • Soft dollar arrangements
      • Reg NMS
    • Sales and marketing
      • Navigating SEC, FINRA and CFTC requirements for selling registered and unregistered funds
    • Capital markets activities related to underwriting and private placements
      • Rule 14e-4 and Reg M
    • “Restricted Person” under FINRA Rules 5130 and 5131
    • Trading of digital securities
  • Alternative trading systems and exchanges
  • Reg NMS
  • Transfer agents and clearing agencies
    • Registration
    • Compliance
    • Examinations

Our Securities Trading and Markets team includes several former SEC staffers who have deep enforcement, examination and policy experience, in addition to FINRA market regulation experience. 

Our team also draws on the experience of Perkins Coie attorneys focused on advising clients on registered and unregistered fund creation, transactional matters related to derivatives and repurchase agreements, tax, ERISA and securities litigation. Our attorneys are authorities across the federal securities laws.

We provide in-depth counsel and insightful solution-based guidance that fosters innovation and supports compliance for broker-dealers, clearing agencies, exchanges, transfer agents, investment advisers, banks and issuers.

Our broad experience includes advising clients on the following:

  • Broker-dealer registrations
    • Business expansions and changes of control
    • New membership and continuing membership applications
    • Issues regarding registered representative licensure
    • State notices and approvals
    • Assistance with FINRA materiality consults
    • Bank issues related to Reg R
    • Avenues avoiding broker-dealer registration
  • Broker-dealer regulatory and compliance
    • Financial responsibility rules
    • Trading practice rules
      • Reg SHO, Reg M, Rule 15c2-11, Rule 14e-4, trading suspensions, halts and chills
      • OATS, CAT and Trade reporting compliance
      • Soft dollar arrangements
      • Reg NMS
    • Sales and marketing
      • Navigating SEC, FINRA and CFTC requirements for selling registered and unregistered funds
    • Capital markets activities related to underwriting and private placements
      • Rule 14e-4 and Reg M
    • “Restricted Person” under FINRA Rules 5130 and 5131
    • Trading of digital securities
  • Alternative trading systems and exchanges
  • Reg NMS
  • Transfer agents and clearing agencies
    • Registration
    • Compliance
    • Examinations

Our Securities Trading and Markets team includes several former SEC staffers who have deep enforcement, examination and policy experience, in addition to FINRA market regulation experience. 

Our team also draws on the experience of Perkins Coie attorneys focused on advising clients on registered and unregistered fund creation, transactional matters related to derivatives and repurchase agreements, tax, ERISA and securities litigation. Our attorneys are authorities across the federal securities laws.

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