Bracewell provides legal guidance, regulatory insight and public policy advocacy to a range of financial-institution clients, including multinational and interstate banks, community-owned and mid-market institutions, and companies entering the rapidly growing payday loan and specialty finance sector.
We regularly advise financial institutions on complex transactions and other activities subject to state and federal securities and banking laws, including the Securities Act, the Securities Exchange Act, and the Investment Company and Investment Advisor Acts. As banks and other lending institutions move into securities trading and other capital-market activities, we provide counsel regarding the rules, including licensing and transactional requirements, of the New York Stock Exchange, the NASDAQ and other self-regulatory bodies.
A number of the firm’s attorneys have come to Bracewell from the very agencies before which we represent clients. In addition to our in-depth understanding of applicable regulations, we draw on our first-hand knowledge of the objectives of regulators and law-enforcement officials to help clients achieve satisfactory resolution of investigations and law-enforcement actions.