Bryan Daly

ID: 1b837fc0-2619-30fb-68c4

Claimed Record

Organization: Sheppard, Mullin, Richter & Hampton LLP

Professional Bio

Bryan Daly is a partner in the Governmental and White Collar Defense Practice Groups and works out of the firm's Los Angeles office. Bryan is a former Assistant U.S. Attorney for the Central District of California, Criminal Division, Public Corruption and Government Fraud Section.

Recent SEC Guidance on “Knowledgeable Employees” and Broker-Dealer Registration

Regulatory & Compliance Update · February 25, 2014

SEC Releases a Second Installment of “Bad Actor” Rule Guidance

Regulatory & Compliance Update · January 22, 2014

CFTC Defers Effectiveness of Oral Recording Requirements for Registered Commodity Trading Advisors Holding SEF Memberships

Regulatory & Compliance Update · December 23, 2013

Trading and Compliance Issues Under Rule 105

Regulatory & Compliance Update · December 11, 2013

SEC Releases “Bad Actor” Rule Guidance

Regulatory & Compliance Update · December 11, 2013

Practice Areas

Business and Commercial

Administrative and Regulatory

Employment & Labor

Jurisdictions