Practice Areas & Industries: Bracewell & Giuliani LLP

Practice/Industry Group Overview

Bracewell & Giuliani advises broker-dealers on all aspects of financial markets regulation. We work closely with clients to ensure compliance with the requirements of the Securities and Exchange Commission (SEC), the Federal Reserve Board and securities industry self-regulatory organizations. We help broker-dealers respond to examination findings and provide effective representation in a range of enforcement proceedings.

In particular, our lawyers focus on issues such as correspondent clearing, prime brokerage, net capital and margin requirements, securities lending, customer protection concerns, and trading practices of the NYSE, NASDAQ and other exchanges. 

Members of our team serve on the NASDAQ Market Operations Review Committee as well as the best-execution committees of several major broker-dealers.