About James M. Brady
James Brady helps clients deal with a wide range of financial services regulatory matters. He also offers counsel on developing laws and regulations related to cryptocurrencies and digital tokens.
Selling or buying, compliance is the best policy
James works with buy-side and sell-side clients, trading facilities and clearinghouses. He deals with securities and derivatives regulatory obligations, registrations and related corporate and transactional issues. He also helps clients with examinations, enforcement actions and cross-border management.
During law school, James was an editor of the Michigan Journal of International Law. He also served as a judicial intern to the Honorable Stephen J. Markman of the Michigan Supreme Court.
- Financial services
- Securities and derivatives
- Broker-dealer regulation
- Financial services regulatory and compliance
- Private fund formation
- Proprietary trading firms
- Distributed ledger products, services and technology
July 10, 2020
April 28, 2020
Business Not as Usual – COVID 19: US Securities and Derivatives Industry Regulators Provide Relief and GuidanceMarch 19, 2020
Have We Finally Reached Our Limits? CFTC Proposes New Position Limits Rules in Effort to End Decade-Long SagaFebruary 14, 2020
October 29, 2019
September 11, 2019
Presentations and Events
A Brave New World: Effective Supervision and Compliance by CFTC and SEC Registrants in the New Business as Usual EnvironmentPanelist | Lessons Learned and the Status of Regulatory ReliefJune 18, 2020
Have We Finally Reached Our Limits? CFTC Proposes New Position Limits Rules in Effort to End Decade-Long SagaSpeakerFebruary 14, 2020
The Evolution of the Application of Law to Blockchain Technology and Cryptoassets: Where Have We Come From and Where Are We Going?PanelistJune 26, 2019