Brant Brown advises broker-dealers, exchanges, clearing agencies, asset managers, and other financial institutions on compliance with federal securities laws and the rules of self-regulatory organizations (SROs). Brant routinely counsels regulated entities across a full range of regulatory issues, including those arising during examinations, investigations, and enforcement matters.
Brant’s practice focuses on issues arising under the Securities Exchange Act of 1934 and the SEC’s rules and regulations thereunder, FINRA rules, and the rules of other SROs, including national securities exchanges and registered clearing agencies. Before returning to private practice in 2018, Brant served for over thirteen years in FINRA’s Office of General Counsel, most recently as Associate General Counsel. At FINRA, he was responsible for advising the Board of Governors, senior management, and multiple FINRA departments, including FINRA’s Departments of Market Regulation, Transparency Services, and Finance on complex regulatory initiatives and rule proposals, including best execution, supervision, front running, and order handling and reporting rules across multiple asset classes.
Clients have described Brant’s FINRA experience as “invaluable” in equipping him to advise on complex regulatory rules, with another calling him “a FINRA expert” who is “extremely well-versed in broker-dealer rules, regulations and current practices.” Brant has also been selected for inclusion in Chambers USA’s Financial Services Regulation: Broker-Dealer (Compliance) category where he was described by one client as “an excellent regulatory lawyer who consistently provides thoughtful guidance regarding complex securities issues.”
Prior to joining O’Melveny, Brant previously worked at other major global law firms, where he advised SROs, broker-dealers, other regulated entities and a variety of market participants across a range of regulatory, compliance, and securities enforcement-related matters. Before joining FINRA, Brant spent four years at a major global law firm in Washington DC providing compliance, regulatory, and enforcement-related advice to investment advisers, mutual funds, hedge funds, and broker-dealers on a variety of issues under the federal securities laws and SRO rules.
- Numerous broker-dealers, exchanges, alternative trading systems, clearing agencies, and asset managers on regulatory matters including compliance, examination, and enforcement issues under the federal securities laws and SRO rules
- Leading trade associations and market participants with preparing comment letters on key SEC and SRO rulemaking initiatives affecting broker-dealers, asset managers, and other market participants
- Multiple broker-dealers in connection with receiving FINRA approval for changes in control due to corporate acquisitions or reorganizations
Admissions
Bar Admissions
- District of Columbia
- Virginia
Education
- Vanderbilt Law School, J.D., 2000
- Vanderbilt University, B.A., 1997
Honors & Awards
- Ranked by Chambers USA in Financial Services Regulation: Broker Dealer (Compliance) (2025-26)
- Brant received the Chairman’s Award while at FINRA for his commitment to and efforts to support FINRA’s mission of investor protection and market integrity.
Professional Activities
Co-Author
- “Trading Desk Activities,” Broker-Dealer Regulation (PLI Second Edition)
- “Regulation SCI and Trends in IT and Cybersecurity Regulation, Compliance and Enforcement,” Broker-Dealer Regulation (PLI Second Edition) and Fintech, Regtech, and the Financial Services Industry (PLI)
Panelist
- “Precision and Protection: Regulatory Priorities in the Options Market,” SIFMA Market Structure Conference (Nov. 2025)
- “ATSs and Fixed Income/Government Securities,” Tabb Forum: ATS and Off-Exchange Trading – Opportunities and Challenges (Feb. 2025)
Outside Counsel
- National Organization of Investment Professionals
- NOIP Foundation