Brant Brown, former associate general counsel at the Financial Industry Regulatory Authority, has joined the international law firm Willkie Farr & Gallagher as counsel in the Washington office.
Brown has significant experience working with self-regulatory organizations and broker dealers on a range of regulatory, compliance, and enforcement-related matters. At Willkie, he will advise asset management and private equity clients on regulatory matters they face as they navigate the complex legal environment.
Brown served in FINRA’s Office of General Counsel for 13 years, most recently as associate general counsel. He was responsible for advising senior management, departments and committees of FINRA on complex regulatory initiatives and rule proposals, developing and drafting regulatory notices and rule filings for submission to the SEC, and preparing materials for FINRA’s Board of Governors.
He also regularly counseled FINRA’s Departments of Market Regulation, Transparency Services and Finance and worked closely with SEC staff on multiple high-profile regulatory initiatives, including establishing FINRA trade reporting requirements for trading activity in the Treasury market and representing FINRA in a significant role on the Consolidated Audit Trail Initiative. At FINRA, he was the recipient of several honors, including the FINRA Chairman’s Award, FINRA's highest award.
Prior to his time at FINRA, Brown was an associate in the securities group of a large Washington law firm where he advised clients on securities laws and rules and represented firms and individuals in securities enforcement matters.