Our lawyers advise many of the largest and best-known institutional, private wealth, and private client firms, and retail broker-dealers on the full range of issues involving broker-dealer regulation. We also have a keen grasp of market structure, trading, and other regulatory issues related to the regulation of national securities exchanges and alternative trading systems. Additionally, we are deeply familiar with regulatory compliance issues relating to equity capital markets and fixed-income securities trading, standards of care to retail investors, and underwriting activities.
In addition to counseling, our team plays significant advisory roles in major transactions, US Securities and Exchange Commission (SEC) and Financial Industry Regulator Authority (FINRA) examinations, and enforcement defense and litigation matters. The depth and range of our experience informs our advice to clients on new and developing regulatory issues, often as the thought leaders when regulators are proposing significant rulemaking.
We offer a diverse mix of sophisticated Wall Street savvy and veteran regulatory know-how, and our practice has grown steadily to become one of the most substantial in the United States. Leading financial institutions consider Morgan Lewis a go-to law firm for the convergence of brokerage and investment advisory services, and our lawyers counsel many of the largest private wealth management and private client firms. We draw on the strength and diversity of our firm’s extensive global platform to assist clients in related areas, such as ERISA, tax, labor and employment, employee benefits, antitrust, intellectual property, and technology.
Clients rely on our advocacy skills and industry knowledge for perspective on key policy issues and regulatory proposals. We have successfully obtained regulatory relief for broker-dealer clients, including SEC no-action and interpretive letters and exemptions, on a wide variety of issues. We also advise US broker-dealers on cross-border regulatory issues working in collaboration with our highly regarded teams in London, Frankfurt, and Tokyo.
In addition to many of the largest and most familiar broker-dealers in the United States, our clients include broker-dealers and investment banks from around the world seeking to do business in the United States. Our industry and regulatory knowledge and capabilities equip us to counsel clients on day-to-day and ongoing questions as they conduct operations, complete transactions, and respond to regulatory inquiries.