Based in Washington DC and New York, our broker-dealer team advises leading financial market participants on a range of cutting-edge issues related to securities and derivatives regulation, capital markets, compliance and enforcement. Recognized by Chambers USA for over a decade as “a consummate financial services firm” with “an exceptionally strong broker-dealer practice,” WilmerHale derives its reputation in the broker-dealer space from its extensive knowledge of the regulatory landscape. Drawing on their in-depth understanding of the industry and the markets, our lawyers counsel clients on sales and trading matters, assist in structuring new products and services, formulate public policy strategies, conduct internal reviews, identify and manage conflicts of interest, and advise on the development of compliance and supervisory programs. When clients face examinations and administrative proceedings initiated by the US Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), state securities and insurance regulators, and other self-regulatory organizations (SROs), our respected practitioners interface with the regulators and navigate the nuances of the enforcement process.

Our practice features regulatory alumni with deep and comprehensive insight into the constellation of regulations and SRO rules affecting financial market participants. Clients recognize our “unmatched subject matter expertise, intelligence, professionalism, work ethic and client service” and the “exceptional value [we] add to all situations” (Chambers USA).

Our clients range from financial holding companies to multi-service investment banks, Nasdaq market makers, trade associations, national and regional brokerage houses, exchanges and other market venues. Among our client roster are Barclays Capital, Citigroup, Credit Suisse, Goldman Sachs, Jefferies, JPMorgan, Royal Bank of Canada, Royal Bank of Scotland and UBS. We also represent hedge funds and other institutional investors that are active participants in the capital markets, as well as independent broker-dealers and investment advisers that provide wealth management services.