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Capabilities 10 results

Practice Area

Financial Services Transactions & Regulatory

Winston’s attorneys routinely advise clients with respect to all major banking, FinTech, broker-dealer, investment adviser, and securities laws, and we bring considerable financial services regulatory experience to these matters. Our knowledge and experience enable us to represent clients effectively and efficiently in this current environment of change and evolution....Read more

Industry

Financial Crimes Compliance

Winston’s financial crimes compliance lawyers have been providing regulatory compliance counseling and enforcement services related to the Bank Secrecy Act (BSA), the Anti-Money Laundering Act of 2020 (AML), and countering the financing of terrorism (CFT) policy for decades. We also have experience with international AML matters, including in the EU and with respect to Financial Actions Task Force (FATF) recommendations....Read more

Practice Area

Private Investment Funds

Winston & Strawn represents both private investment fund managers and institutional investors in the full range of legal and market practice issues involved in establishing, managing, and investing in private investment vehicles. By representing both managers and institutional investors, our attorneys have a unique perspective on the market drawing from in-depth experience and state-of-the-art knowledge of legal issues, deal terms, and market trends....Read more

Insights & News 26 results

Sponsorship

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April 17, 2024

Winston & Strawn Sponsors, Attorneys Speak at FMA’s 33rd Annual Securities Compliance Seminar

Winston & Strawn was a proud sponsor of the Financial Markets Association (FMA)’s 33rdAnnual Securities Compliance Seminar in Chicago, IL, from April 17-19, 2024. ...Read more

Non-Fungible Insights: Blockchain Decrypted

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January 11, 2024

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6 Min Read

Road to Bitcoin Investment Cleared with SEC’s Approval of 11 Spot Bitcoin ETFs

Yesterday marked a historic milestone in the history of bitcoin. On January 10, 2024, the U.S. Securities and Exchange Commission declared effective the applications to list shares of the following 11 spot bitcoin exchange-traded products and greenlighted the commencement of trading shares of the spot bitcoin ETPs beginning today.

In the Media

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July 19, 2023

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2 Min Read

Three Litigation Partners Join Winston in Washington, D.C.

Winston & Strawn recently announced the addition of Scott Border, Daniel Chaudoin, and Caitlin Mandel to the firm’s Washington, D.C., office. Scott joins the Intellectual Property Practice, while Daniel and Caitlin join the Government Investigations, Enforcement, and Compliance Practice....Read more
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Other Results 13 results

Site Content

What Is the Financial Industry Regulatory Authority (FINRA)?

FINRA is an independent, self-regulatory organization (SRO) that regulates and oversees its member brokers as well as the stock exchange markets.  FINRA reviews public offering filings and provides regulatory guidance on fair and reasonable underwriting arrangements....Read more

Site Content

What Is the Nasdaq?

The Nasdaq is an electronic marketplace for buying and selling securities. Its name was originally an acronym for the “National Association of Securities Dealers Automated Quotations”. Nasdaq started as part of the National Association of Securities Dealers (NASD), now known as the Financial Industry Regulatory Authority (FINRA). Nasdaq was created after the Securities and Exchange Commission encouraged NASD to create an automated market for securities not listed on an exchange. The result was the first electronic trading system. Nasdaq opened in 1971 as the first electronic trading system. Nasdaq began to operate as a national securities exchange in 2006....Read more

Site Content

Law Glossary

Glossary of Legal Terms and Definitions...Read more
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