FacultyFaculty/Author Profile
James A. Brigagliano

James A. Brigagliano

Sidley Austin LLP

Washington, DC, USA


JAMIE BRIGAGLIANO is a partner in the Securities & Derivatives Enforcement and Regulatory group. He advises broker-dealers and hedge funds on a broad variety of regulatory, enforcement, compliance, and transactional matters. Jamie focuses his practice in particular on SEC and Finra rules governing trading by broker-dealers and hedge funds, and broker-dealer registration and conduct rules. Among those areas in particular are rules governing: Short Sales (Regulation SHO and Rule 105), Research, Regulations M, NMS, and ATS, Order Handling, and Best Execution. Jamie’s practice is recognized by Chambers USA (Band 2) and The Best Lawyers in America (Securities Regulation). In the 2016 edition of Chambers USA,  Jamie “ is described as ‘extremely knowledgeable and helpful" and "a very smart trading lawyer’ by interviewees, who point to his impressive regulatory compliance work with broker-dealers, hedge funds and other financial institutions as evidence of his growing prominence within the industry.”
James A. Brigagliano is associated with the following items:
CHB Chapters  CHB Chapters FINRA Expands Focus on Algorithmic Trading With New Registration Requirements (April 25, 2016) - Broker/Dealer Regulation and Enforcement 2016, Thursday, October 20, 2016
FINRA Targeted Examination of Cultural Values in Guiding Business Conduct (February 25, 2016) - Broker/Dealer Regulation and Enforcement 2016, Thursday, October 20, 2016
Financial Industry Regulatory Authority 2016 Exam Priorities (January 12, 2016) - Broker/Dealer Regulation and Enforcement 2016, Thursday, October 20, 2016
FINRA and MSRB Issue Guidance on Best Execution Obligations in Equity, Options and Fixed Income Markets (December 9, 2015) - Broker/Dealer Regulation and Enforcement 2016, Thursday, October 20, 2016
SEC Proposes New Rules to Increase the Transparency and Oversight of Alternative Trading Systems that Transact in NMS Stock (November 30, 2015) - Broker/Dealer Regulation and Enforcement 2016, Thursday, October 20, 2016
SEC Proposes Rules to Enhance Order Handling Information Available to Investors (August 8, 2016) - Broker/Dealer Regulation and Enforcement 2016, Thursday, October 20, 2016
FINRA’s New Debt and Equity Research Rules Herald Wide-Ranging Changes for Firms (October 30, 2015) - Broker/Dealer Regulation and Enforcement 2016, Thursday, October 20, 2016
SEC and FDIC Proposed Rules on the Orderly Liquidation of Certain Large Broker-Dealers (May 16, 2016) - Broker/Dealer Regulation and Enforcement 2016, Thursday, October 20, 2016
2017 Regulatory Update - Broker/Dealer Regulation and Enforcement 2017, Tuesday, October 17, 2017
Web Segment  Web Segment Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update - Broker/Dealer Regulation and Enforcement 2017, Tuesday, October 17, 2017
MP3 Audio  MP3 Audio Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update - Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update, Tuesday, October 17, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update - Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update, Tuesday, October 17, 2017
On-Demand Web Programs  On-Demand Web Programs Broker/Dealer Regulation and Enforcement 2017, Wednesday, October 18, 2017, New York, NY
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