Financial Markets Law Resource Center
A public reference on the law of financial markets, market participants, and expert-witness practice.
Foundations, topical guides, reference tools, and FAQs for clients, counsel, and market participants navigating financial markets law — from FX and futures regulation to expert-witness practice in financial-markets disputes.
This resource is researched and maintained by G. Dowd Law LLC, a Chicago law firm whose founder, George Dowd, has worked in financial markets for over twenty-five years and has served as an expert witness before the NFA, FINRA, London Court of International Arbitration (LCIA), and the Federal Court of Australia. Content is informational. If you need legal counsel, contact the firm directly.
Foundations
Six interlocking areas of law that shape how U.S. financial markets operate, who is accountable, and how disputes are resolved.
Foundations
Market Regulation
The regulators that oversee U.S. financial markets — the SEC, CFTC, NFA, and FINRA — and the often overlapping authority that governs market participants, products, and conduct.
Foundations
Trading Conduct & Supervision
The duties owed by registered persons and their supervisors — conduct standards, supervisory obligations, recordkeeping, and the rules governing customer relationships.
Foundations
Disputes & Enforcement
How disputes are resolved in financial markets — FINRA and NFA arbitration, regulatory enforcement proceedings, and civil litigation between market participants.
Foundations
Expert Witness Practice
The methodology, qualifications, and scope of expert testimony in financial-markets disputes, including practice before the NFA, FINRA, LCIA, and federal court.
Foundations
Whistleblower Programs
The federal whistleblower programs at the SEC, CFTC, FinCEN, and DOJ Criminal Division — eligibility, awards, anti-retaliation protections, and coordinated submissions across agencies.
Foundations
Futures, FX & Trading Conduct
The CFTC and NFA framework governing U.S. derivatives and foreign exchange — anti-manipulation and spoofing rules, the FX Global Code, market microstructure, and account-level disputes.
Topic Resources
Cross-cutting deep-dive resources on specific areas of contemporary financial-markets practice and litigation. Each topic resource synthesizes federal regulation, state-law dimensions, enforcement posture, and recovery avenues for matters that span multiple Foundations.
Topic Resource
Prediction Markets
Federal CFTC regulation, the federal-state preemption battle, the Statute of Anne loss-recovery litigation campaign, manipulation and insider-trading enforcement, and customer-side recovery avenues under CEA Section 22, CFTC Reparations, NFA arbitration, and state gambling-loss-recovery statutes.
Recent Developments
Recent regulatory actions, enforcement decisions, and notable rulings affecting financial markets, market participants, and dispute practice. Curated from coverage on the firm’s blog.
Quick Reference
About This Resource
The Financial Markets Law Resource Center is a public reference resource on U.S. financial-markets regulation, trading conduct, whistleblower programs, and expert-witness practice, maintained by G. Dowd Law LLC. The firm’s founder, George Dowd, has worked in financial markets for over twenty-five years and serves as an expert witness before the NFA, FINRA, London Court of International Arbitration, and the Federal Court of Australia. Learn more →
Need legal counsel on a financial-markets matter?
This resource is informational. For representation in regulatory proceedings, arbitration, litigation, or expert-witness engagements, contact G. Dowd Law LLC directly.