Structured and Regulated Finance & Trading; Derivatives


Structured finance is invoked when companies have complex financing or financial risk management needs, which cannot be solved with conventional financing. At IBL, our experienced attorneys advise our clients on a wide range of finance and trading regulations, such as the federal statutes administered by the CFTC and SEC that cover matters ranging from the registration, conduct, and reporting requirements of investment advisers,  broker-dealers, and commodity trading entities, to the regulation of exchange-listed and over-the-counter (OTC) swaps and derivatives for securities and commodities. 


  • Broker-dealer
  • Fund formation
  • Investment Advisers Act and Investment Company Act (’40 Acts)
  • Project Finance
  • Structured finance
  • Securities Exchange Act & Dodd-frank
  • Alternative Trading Systems (ATS)
  • Securities exchanges
  • Market-makers
  • Commodity Exchange Act
  • Commodity Trading Advisors (CTAs)
  • Commodity Pool Operators (CPOs)
  • Floor brokers and floor traders
  • Registered Investment Adviser (RIA)