Winston & Strawn

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Professionals (12)
Capabilities (11)
Experience (0)
Insights & News (28)
Other Results (13)

Professionals 12 results

Justice Walters

Associate

New York

+1 212-294-5340

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Associate

New York

Daniel T. Chaudoin

Partner

Washington, DC

+1 202-282-5049

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Partner

Washington, DC

Matthew DiRisio

Partner

New York

+1 212-294-4686

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Partner

New York

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Capabilities 11 results

Practice Area

Financial Innovation & Regulation

Winston’s Financial Innovation & Regulation attorneys routinely counsel financial services, digital assets, and other clients on complex banking, crypto, FinTech, consumer financial, and securities matters. Many of our team members previously held positions as in-house counsel at global financial institutions and served in positions at government agencies, which gives us considerable experience in helping our clients obtain innovative, effective, and efficient solutions....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

Industry

Consumer Financial Services

The financial services landscape is undergoing rapid and unprecedented transformation—driven by technological innovation, evolving market dynamics, and a shifting regulatory climate. Winston & Strawn is uniquely positioned to help clients not only adapt to these changes, but to anticipate what’s next....Read more

Insights & News 28 results

Capital Markets & Securities Law Watch

March 25, 2026

3 Min Read

SEC Proposes to Narrow Rule 15c2-11 to Equity Securities

On March 16, 2026, the Securities and Exchange Commission (SEC) proposed amendments to Exchange Act Rule 15c2-11 that formally limit the rule’s scope to equity securities. The proposal carries significant practical implications for broker-dealers, fixed-income issuers, and capital markets participants alike after years of regulatory uncertainty.

Non-Fungible Insights: Blockchain Decrypted

May 27, 2025

6 Min Read

Not So Special After All: SEC Quietly Discards Special-Purpose Broker-Dealer Framework, Opens Digital Asset Custody to “Regular” Broker-Dealers

On May 15, 2025, the Division of Trading and Markets of the U.S. Securities and Exchange Commission (SEC) released a set of Frequently Asked Questions (FAQs) addressing the application of SEC Rule 15c3-3 (the Customer Protection Rule) to the custody of crypto assets that are securities by broker-dealers.

Sponsorship

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

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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