Overview
Strategic Counsel for Capital Markets Participants
We serve as a strategic partner to banks, broker-dealers, investment advisers, companies, investors, lenders, and borrowers supporting clients in navigating capital raising transactions, lending and derivatives transaction, regulatory compliance with FINRA, the SEC, and the CFTC, and ongoing disclosure obligations.
Our interdisciplinary team delivers sophisticated, cost-effective, practical, and responsive guidance. We take a holistic approach to offer comprehensive representation for capital markets clients, drawing on the strength of Michael Best’s full range of practices including tax, corporate, data privacy and cybersecurity, branding and advertising, employment, wealth planning, and ERISA law.
Our Approach: Beyond the Deal, Building Relationships That Build Businesses
We give clients access to niche expertise without sacrificing responsiveness or cost-efficiency. Our team represents banks, clearing firms, broker-dealers, investment advisers, dual registrants private funds, family offices, and many companies ranging from the largest banks and broker-dealers in the world to fintech start-ups, and every size of financial institution in between.
Focus Areas
Broker-Dealer & Investment Adviser
At Michael Best, our Broker-Dealer & Investment Adviser Practice Group provides comprehensive legal services tailored to the needs of financial services firms, including broker-dealers, investment advisers, hedge funds, family offices, venture capital, private equity funds, and fintech companies. We guide clients through formation, registration, licensing, compliance, enforcement defense, and private disputes with customers or counterparties. Our experienced attorneys—many with prior roles in-house or at regulatory agencies—offer strategic counsel on SEC, FINRA, and state securities regulations, AML compliance, supervisory procedures, and internal investigations. Whether you're launching a new firm, responding to a regulatory inquiry, or scaling operations, Michael Best is your trusted legal partner for navigating the complex broker-dealer and investment adviser landscape.
Derivatives
We represent dealers and end users across the full lifecycle of derivative transactions, from structuring and documentation to enforcement. We also offer scalable solutions for high-volume transactions, including loan amendments and documentation.
Lending
Successful relationships between lenders and commercial borrowers depend on clearly defined agreements. Our Lending team helps clients explore the full spectrum of finance options and develop the complex contractual terms that are key to mutually beneficial relationships.
Clients, both lenders and borrowers, benefit from our focus and guidance on strategic issues and in-depth knowledge covering a wide variety of industries, which enable us to negotiate terms that protect them throughout the lending relationship.
From structuring the transaction to performing due diligence, negotiating terms, drafting documentation, securing complex collateral, coordinating all aspects of the deal, and resolving post-closing issues, our team helps facilitate timely and cost-effective deal flow.
Securities
Our Securities team advises public and private companies on securities offerings and private placements. For publicly traded companies, we handle a full range of securities reporting and compliance matters, M&A transactions, and securities litigation. In addition, we provide counsel on broker-dealer and investment adviser regulatory issues.
