Joseph Brady – Top Regulator

March 2017
Time: 35:06

Protection of Vulnerable Adults from Financial Exploitation. Joseph Brady is the Executive Director the NASAA (North American Securities Administrators Association). NASAA is the association of state, provincial, and territorial securities regulators in the United States, Canada, and Mexico. NASAA and its members are committed to protecting investors from fraud and abuse in securities transactions, and their activities focus on licensing, enforcement, and investor education. As Executive Director, Mr. Brady is responsible for oversight of it’s century-old mission of investor protection across North America. Mr. Brady’s responsibilities have included supporting it’s representative on the Financial Stability Oversight Counsel and various committees including the Broker/Dealer and Investment Adviser Section Committees and CRD/IARD Steering Committee. He has led several initiatives to implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act affecting the regulation of investment advisers. Prior to joining NASAA, Mr. Brady served as chief counsel to the Securities Division of the Mississippi Secretary of State. In this role he managed enforcement cases brought by the division and represented the Secretary of State in matters before state courts and administrative tribunals. Mr. Brady is admitted to the bars of Mississippi (inactive) and the District of Columbia and is a graduate of the Mississippi College School of Law and the University of Southern Mississippi.