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 10, 2025
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May 13, 2025
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June 24, 2024
Publications
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July 2025
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June 2025
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April 2025
Quick Reads
Presentations and Events
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February 11, 2025Speaker
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July 10, 2024Presenter
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May 9, 2024SEC Dealer Rule Roundtable | Presented by RSMPanelist