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 specialty finance sector, including representation of payday lenders.
We regularly advise financial institutions on complex transactions and other activities subject to state and federal securities and banking laws, including the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Company and Investment Advisors Acts. As banks and other lending institutions and their affiliates 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 agencies before which we represent clients and maintain contacts with former colleagues at the agencies. 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.