COMMODITIES, FUTURES AND SECURITIES LAW
Organization and Registration
of BDs, CPOs, IAs and CTAs
May Law, PC works with financial services participants in formulating business plans, and seeing those plans through the operational stage. His work includes organizing and obtaining required regulatory approvals for broker-dealers, Forex traders, investment advisers, and commodity trading advisers. The firm has developed many financial service industry agreements in the retail, clearing and operational areas. This includes drafting of agreements for proprietary trading firms, facilities management, and acquisitions of trading and operational groups.
Litigation, Arbitration, and Mediation
May Law, PC frequently represents futures, Forex and securities firms in litigation and arbitration. In counseling clients facing adversarial situations, the firm often recommends alternative dispute resolution when appropriate, and our personnel are experienced in arbitration and mediation as advocates. The firm’s practice also includes intra-industry litigation adjudicated by exchanges and self-regulatory organizations.
Securities and Futures Proprietary Trading Firms and Traders
May Law, PC counsels participants in all the major trading markets, both for exchange and off-floor operations. The firm represents floor brokers, market makers, specialists, traders, and member firms, Forex traders including proprietary trading boutiques.
May Law, PC has created compliance programs for securities and futures firms, both small and large. The firm prepares compliance programs for regional broker-dealers, advises on sales practice questions and consults and conducts on internal investigations.
Mergers and Acquisitions of Financial Services Industry Firms
May Law, PC represents buyers and sellers in acquisitions of broker-dealers, investment advisers, commodity trading advisers and other financial services firms. In addition to the regulatory expertise necessary to effect such acquisitions in the financial services industry, the firm has an extensive knowledge of the business considerations that are important in completing such acquisitions, representing either the buyer or seller.
Capital, Margin, Clearance and Operations
The complex areas of clearance and settlement, capital and margin regulation are areas of familiarity to May Law, PC. The firm advises futures, Forex and securities firms on correspondence and clearing arrangements, and capital and operational questions. The Firm counsels accounting firms performing audits of commodities, Forex and securities professionals.
Money Management
May Law, PC is actively involved in the organization and management of pooled money in the form of hedge funds, commodity pools, and private partnerships. It advises money managers, and assists clients in operating hedge funds and commodity pools, including preparation of private placement memorandums.
Underwriting, Corporate Finance and Mergers and Acquisitions
May Law, PC represents underwriters and selling agents in private placements, advising on due diligence, syndication, stabilization and related problems. While the Firm has an active practice involving raising capital, it concentrates on securities and futures industry mergers and reorganizations.
Investigations and Enforcement Proceedings
May Law, PC has particular expertise in defending SEC, CFTC, state agency, and exchange investigations and enforcement proceedings. Some of the Firm’s greatest successes have been in this arena. Because of the Firm’s frequent contacts with enforcement offices, it often sees enforcement matters concluded through devising innovative undertakings, and avoiding unwelcome corrective measures.
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