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.