James Burns
USA Guide 2024
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, transactional, 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 during the years the agency was responding to Dodd-Frank, the Flash Crash and other market developments. He brings significant experience and insights into current issues in SEC, FINRA and other self-regulatory organization (SRO) rulemaking, examination and enforcement contexts, and provides strategic advice in support of U.S. and non-U.S. entities overseen by TM and the Division of Investment Management, FINRA and other SROs. He also advises on digital and financial technology 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, SRO 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.
Discover other Lawyers at
Cleary Gottlieb Steen & Hamilton LLP
California
California: San Francisco, Silicon Valley & Surro
District of Columbia
New York
