Jones Day advises broker-dealers, banks, and other financial institutions on a range of regulatory and enforcement matters. The firm’s practice, led by Brett Barragate and Jayant Tambe, both based in New York, focuses on compliance with U.S. federal and state securities laws, FINRA and other SRO regulations, and trading-related matters, including equity market structure issues and securities transactions across exchanges, alternative trading systems, and over-the-counter markets. The team includes former senior officials from the SEC, CFTC, DOJ, and the U.S. Attorney’s Office for the Southern District of New York, offering substantial enforcement expertise. The team is also active in the fintech sector, providing counsel on blockchain-based offerings, cryptocurrency regulations, and digital asset trading platforms.