Lawyer profile for USA 2021
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Financial Services Regulation: Broker Dealer (Compliance) - USA - Nationwide
"He is like an encyclopedia of market structure rules, with lots of insight into how the SEC works.""Jamie is a really great resource, especially on regulatory questions."
This content is provided by James Brigagliano
Jamie Brigagliano is a partner in Sidley’s Securities Enforcement and Regulatory group. His practice encompasses advising broker-dealers, hedge funds and other financial services firms on a broad variety of regulatory, enforcement, compliance and transactional matters. Jamie focuses his practice in particular on SEC and SRO rules governing trading by broker-dealers and hedge funds, and broker-dealer registration and conduct rules. Jamie previously served as the Deputy Director of the Division of Trading and Markets at the Securities and Exchange Commission, where he held senior policymaking and management responsibilities, and as Co-Acting Director of the Division in 2009. While at the SEC, he oversaw the regulation of broker-dealers, securities markets and trading practices; advised on enforcement matters and testified before Congress.
Co-author of “SEC Proposes Regulations for Venues Trading Treasuries with Corporate Bonds and Munis on the Horizon,” Sidley Update, October 22, 2020.
Co-author of “SEC Proposes Exemptive Order for Certain Activities of Finders,” Sidley Update, October 12, 2020.