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Our financial services & regulatory team, Mitchell B. Goldberg, Elizabeth C. Lyons, and Michael Wise
Lawrence Kamin's Financial Regulatory attorneys
PROMINENT FINANCIAL AND REGULATORY COUNSELORS

Financial Services & Regulatory

The complex regulations in the securities, futures, and financial industries are under continuous transformation. In order to remain compliant, respond to emerging regulatory requirements, and avoid regulatory scrutiny and reputational risk, businesses in these industries require proficient legal counsel with historic perception, depth and currency of knowledge, and a dedicated commitment to tracking with the industry’s evolution.

Lawrence Kamin cemented its position as an industry leader serving these industries after the stock market crash of 1929. Our firm offers unparalleled capabilities as one of the few law firms with the requisite experience and knowledge necessary to effectively represent institutions, businesses and individuals navigating complex regulatory issues. Our financial regulation attorneys counsel clients in various regulatory contexts, from registration, to capital raising, to setting up, maintaining, selling, and winding down their businesses. We also counsel our clients on compliance matters and assist in responding to regulatory inquiries, investigations, and enforcement proceedings. We have a nuanced understanding of the regulators and the regulatory environment governing a variety of different entities and individuals.

Securities Firms and Individuals:

  • Broker Dealers (BDs)
  • Registered Investment Advisers (RIAs), including open-end funds
  • Exempt Reporting Advisers (ERAs), including private funds
  • State-Registered Advisers
  • Dual-Registrants
  • Individuals associated with, or registered with, one firm or several

Futures and Commodity Firms and Individuals:

  • Futures Commission Merchants (FCMs)
  • Futures Introducing Brokers (IBs)
  • Commodity Trading Advisers (CTAs)
  • Commodity Pool Operators (CPOs)
  • Proprietary Trading Firms
  • Individual electronic and floor traders

Our attorneys participate in the organizations that monitor and inform the evolution of the regulatory environment and keep an open line of communication with regulators themselves. Lawrence Kamin attorneys are often asked to speak or write about topics of interest to the industry, and we actively participate in the Securities Industry and Financial Markets Association (SIFMA), the National Society of Compliance Professionals (NSCP), the Futures Industry Association (FIA), the American Bar Association (ABA) Subcommittee on the State Regulation of Securities, and the Chicago Bar Association (CBA) Securities Law Committee.

Whether a client is forming a new financial firm, reviewing internal procedures, responding to a regulatory inquiry or arbitration, or contemplating a purchase or sale, Lawrence Kamin’s diversified practice groups have the experience necessary to help navigate the necessary steps and feel confident in the process.

Contact our financial regulation attorneys today.

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