Broker-Dealer Services

Our lawyers have extensive experience representing U.S. and foreign-based financial institutions and financial services clients in a broad range of regulatory, counseling, market structure, corporate, commercial,, and compliance matters in the securities markets. Our broker-dealer lawyers provide full-service representation to securities market participants through seamless teaming with our corporate, tax, intellectual property, labor and employment, white collar, litigation, and other professionals.

Our services include:

  • Corporate and commercial transactions and regulatory approvals
  • Capital markets
  • Trade execution, market making, and research
  • Regulatory counseling
  • Investigations and litigation