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Proprietary trading requires the analysis of complex market conditions coupled with prompt action. Recent and upcoming changes in federal and state regulations add to the complexity of engaging in prop trading. Having the right legal advising, mediation, and representation on your side will help ensure success in your trading endeavors and protect your investments.
A well-constructed investment portfolio will involve a variety of strategies—and a variety of attendant regulations. This strategy, which includes statistical and index arbitrage, merger arbitrage, and volatility arbitrage, requires swift action on the part of the trader. This type of trading proprietary trading firms chicago be subject to certain restrictions on how much equity you must maintain on long and short positions. Since this strategy frequently involves making investment decisions in various places of the world, knowledge of foreign investment regulations is required.
A number of different entities are in charge of proprietary trading standards. The Securities and Exchange Commission, or SEC, has the primary role of regulating the documentation and disclosure of securities trades. The purpose of their laws is to promote transparency and prevent fraud. The Final Rule by the SEC prohibits certain types of proprietary trading by banking proprietary trading firms chicago, for example.
The Financial Industry Regulatory Authority is an independent organization that writes rules for securities and brokerage. They also examine firms for their compliance with the rules and have played a key role in bringing disciplinary action against many of them. The purpose of these regulations is ultimately to proprietary trading firms chicago the general interests of the community.
Ensuring that proprietary trading firms chicago firm flourishes within the boundaries of these regulations is our goal. With our experience in the areas of law surrounding proprietary trading and investment practices, we are highly qualified to provide legal advising and representation with the following:.
We have served numerous clients throughout the Chicago-Metro area with high degrees of satisfaction. Proprietary Trading Strategies A well-constructed investment portfolio will involve a variety of strategies—and a proprietary trading firms chicago of attendant regulations. Regulations on Proprietary Trading A number of different entities proprietary trading firms chicago in charge of proprietary trading standards.
Legal Assistance With our experience in the areas of law surrounding proprietary trading and investment practices, we are highly qualified to provide legal advising and representation with the following: