
Practice Areas
- FinTech & Blockchain
- Regulatory Enforcement Defense
- Securities & Complex Commercial Litigation
- Trading & Markets Counseling
Education
- J.D., cum laude, Georgetown University Law Center, 2011
- B.S., Business Administration, Elizabethtown College, 2008
Admissions
- District of Columbia
- Maryland
James Dombach
Seventh Floor
Washington, DC 20001
T: (202) 661-7019
F: (202) 661-7059
Mr. Dombach’s practice focuses on providing regulatory guidance to exchanges, trading and advisory firms, and related individuals and assisting those entities and individuals in regulatory inquiries. He regularly advises trading platforms, broker-dealers, clearing agencies, and other clients on a variety of compliance, regulatory, and transactional matters, and interfaces with the staff of the SEC and other regulatory bodies on behalf of clients. His work involves complex trading and markets issues, including advising clients with respect to compliance with Reg. NMS, Reg. ATS, and Reg. SHO, as well as the defense of trading-related SEC and SRO investigations.
Representative Matters
Publications
-
SEC Adopts Rule 15l-1 to Require Broker-Dealers to Act in Best Interest of Retail Customers
(06/12/2019)
-
SEC Adopts Amendments to Regulation NMS to Expand Disclosure
(11/05/2018)
-
Securities and Exchange Commission Proposes Access Fee Pilot Affecting All NMS Stocks
(03/16/2018)
-
SEC’s Ultimatum to Token Platforms is No Choice at All: Register as an ATS or Go Out of Business
(03/14/2018)
-
States Leading the Way in Developing Regulatory Approach to Utility Tokens
(03/08/2018)
-
What is a Regulation SHO bona-fide market maker?
Journal of Investment Compliance | (2017)
-
FIRREA Threatens to Add to Government's Financial Crisis Arsenal
American Bar Association | (01/03/2014)
Seminars and Presentations
-
Murphy & McGonigle 2018 CLE Breakfast Series: Best Execution & Pricing (Equity & Fixed Income)
10/04/2018 | (09/14/2018)