About James M. Brady

James Brady helps clients deal with a wide range of financial services regulatory matters. He advises clients across the financial markets ecosystem on securities and derivatives regulation, broker‑dealer compliance and trading platform issues, and provides counsel on how emerging laws and regulatory developments related to cryptocurrencies and digital tokens may affect their businesses. Across his practice, James focuses on helping clients translate complex regulatory requirements into practical guidance that supports business objectives while managing regulatory risk.

Selling or buying, compliance is the best policy

James works with buy-side and sell-side clients, trading facilities and clearinghouses on regulatory obligations, registrations and related corporate and transactional issues. His practice includes advising broker-dealers and other market participants on securities and derivatives trading, supervision and compliance matters, as well as helping firms navigate the regulatory requirements applicable to new products, trading platforms and evolving market structures. He also advises on regulatory issues affecting trading venues and other market infrastructure, including considerations that arise as firms develop new products, expand their trading activities or enter new markets.

In addition to advising on ongoing regulatory compliance, James regularly assists clients with regulatory examinations, enforcement inquiries and cross-border regulatory management. His work frequently involves helping firms understand how rapidly evolving regulatory frameworks apply to their business models, particularly where new technologies or financial products challenge traditional regulatory categories.

James also advises clients on regulatory issues relating to digital assets, including the application of securities and derivatives laws to cryptocurrency-related products and trading activities. He works with firms seeking to develop or offer digital-asset-related products and services, and helps clients navigate the complex, evolving regulatory landscape affecting these markets.

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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

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  • University of Michigan Law School, JD
  • Oberlin College, AB, Economics
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  • Illinois
  • Utah