Broker-Dealer/Futures Regulatory Compliance & Advice

This practice area is headed by Ira Lee Sorkin who served in senior positions at the U.S. Attorney's Office in New York (Deputy Chief of the Criminal Division for the Southern District), at the Securities & Exchange Commission (Director of the SEC's New York office) and as the Chief Legal Officer of a member firm of the New York Stock Exchange (Nomura Holding America, Inc., and Nomura Securities International, Inc.).
 
With Mr. Sorkin’s leadership, Mintz & Gold has extensive experience in advising financial firms, primarily broker-dealers, on how to comply with the myriad of financial regulations issued by the Securities and Exchange Commission, Chicago Board Option Exchange, and Chicago Mercantile Exchange, as well as other regulators. For example, we have advised clients on how to comply with Regulation SHO's aggregation unit requirements, the Chicago Mercantile Exchange's Fee Policy Bulletin #09-01 (which details rules that futures firms must abide by to maintain member rates on the CME), and the CBOE's re-entry requirements for individuals subject to a statutory disqualification. Indeed, Amit Sondhi serves as outside counsel to two Chicago-based broker-dealers, one of which is also a futures firm with the CME.

For more information contact Ira Lee Sorkin or Amit Sondhi

 

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