Financial Services Policy

Engaged in nearly all aspects of financial services policy

Williams & Jensen has an active financial services policy practice representing trade associations and financial institutions of all sizes. The firm represents clients on virtually every aspect of banking, insurance, derivatives and securities regulation, advocating on behalf of clients on major legislative and regulatory proposals.

As technological and innovation developments continue to change the financial services industry and pose challenges to policymakers, and as legislative and regulatory priorities evolve, our experience and understanding enable us to gauge developments accurately and deliver results.

The firm advances client interests through a wide range of services including preparing testimony and witnesses for congressional hearings, assisting in the preparation of comment letters for regulatory agencies, and acting as liaison with Congress and the regulators. We closely follow appropriations, tax, budget, and other substantive legislation that impact market participants and advise on financial institutions mergers and acquisitions.

Issues on which we have worked include the full range of financial services legislation and regulatory proposals:

  • The Dodd-Frank Act legislation and implementation
  • Securities legislation and regulation
  • Mutual funds and hedge funds
  • Banking
  • Insurance and reinsurance legislation
  • Accounting policies and standards
  • Government-sponsored enterprises
  • Terrorism reinsurance
  • Corporate finance issues including private placement and securities registration
  • Structure of the futures, options, and equity markets including the Commodity Futures Modernization Act, Regulation NMS, soft-dollar arrangements, decimal and sub-penny pricing on securities, access fees, short-sale rules, market access, and other market structure rules