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.
Practice Focus
- 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
News
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June 24, 2024
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July 26, 2022
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April 11, 2022
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November 10, 2021
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July 24, 2017
Publications
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November 22, 2024
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November 8, 2024
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October 30, 2024
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September 12, 2024
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July 2024
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February 23, 2024
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February 2024
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February 2024
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December 2023
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Quick Reads
Presentations and Events
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July 10, 2024Presenter
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May 9, 2024SEC Dealer Rule Roundtable | Presented by RSMPanelist
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February 22, 2024
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February 13, 2024
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February 8, 2024Speaker
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February 1, 2024
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January 9, 2024Panelist | Are Bitcoin ETF Application Approvals Coming?
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November 14–15, 2022
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June 15, 2022Speaker | What Does ESG Mean for Derivatives Markets?
- View All Presentations and Events