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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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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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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December 19, 2023
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November 14, 2023
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October 2023
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September 29, 2023
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September 2023
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Quick Reads
Presentations and Events
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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?
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May 19, 2022
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March 8, 2022Panelist
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