Brant Brown’s practice focuses on advising broker-dealers, exchanges, clearing agencies, asset managers, and other financial institutions, including newly established entities, on compliance with federal securities laws and the rules of self-regulatory organizations (SROs).
Prior to joining Cleary, Brant previously worked at another major global law firm, where he advised SROs and broker-dealers across a range of regulatory, compliance, and securities enforcement-related matters.
From 2004 through 2017, Brant served in FINRA’s Office of General Counsel, most recently as Associate General Counsel. At FINRA, he was responsible for providing advice to 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. He was also responsible for developing and drafting regulatory guidance and rule filings for submission to the Securities and Exchange Commission (SEC) across a range of issues, including best execution, supervision, front running, and other order handling and reporting rules. He worked closely with the staffs of the SEC and other SROs on multiple important regulatory initiatives, including establishing FINRA trade reporting requirements for trading activity in the U.S. Treasury market, and representing FINRA in a significant role on the Consolidated Audit Trail initiative.
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.
Brant regularly authors thought leadership content in major publications, including contributing to multiple chapters in PLI’s Broker-Dealer Regulation guide.
Brant joined the firm as a partner in 2023.
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
- Managing Editor, Vanderbilt Law Review, Vanderbilt Law School