James Burns
USA Guide 2023
Band 2 : Financial Services Regulation: Broker Dealer (Compliance)
Email address
[email protected]Contact number
+1 202 974 1938Share profile
Band 2
About
Provided by James Burns
Practice Areas
James R. Burns advises broker-dealers, exchanges, clearing agencies, hedge funds and private equity funds, other market participants, and boards across a range of regulatory, compliance and enforcement matters. Jim previously served as Deputy Director of the SEC’s Division of Trading and Markets (TM) and the SEC’s Deputy Chief of Staff. He brings significant experience and insights into current issues in SEC rulemaking, examination and enforcement contexts, and provides strategic advice on the effects of SEC initiatives on business operations and compliance programs for entities overseen by TM and the Division of Investment Management. He also advises on crypto and fintech developments, cybersecurity and business continuity issues, and foreign entity obligations– ranging from broker-dealer and investment adviser matters to evolving regulatory expectations among federal, state and international oversight and coordinating authorities.
Personal
JD, cum laude, Georgetown University Law Center, 2001. DPhil, Oxford University, 1997. MPhil, Oxford University, 1994. AB, magna cum laude, Harvard College, 1991.
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California
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