James Dombach attorney profile image

James Dombach

jdombach@mmlawus.com
C: (202) 834-2080
1001 G Street, N.W.
Seventh Floor
Washington, DC 20001
T: (202) 661-7019
F: (202) 661-7059
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Practice Areas
Education
  • J.D., cum laude, Georgetown University Law Center, 2011
  • B.S., Business Administration, Elizabethtown College, 2008
Admissions
  • District of Columbia
  • Maryland

 

Practice Areas

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

  • Acting as Counsel and Secretary for Operating Committees of National Market System Plans
  • Assisting firm and individuals related to SEC and FINRA reviews/investigations of Alternative Trading Systems
  • Advising broker-dealer on compliance issues related to Reg. NMS and Reg. SHO
  • Drafting proposed SRO pilot plan to increase tick size on behalf of FINRA and several national securities exchanges to increase tick size
  • Assisting leading national securities exchange in investigation by the SEC Division of Enforcement related to exchange order type functionality, which concluded with a formal closing letter from the Division
  • Assisting a leading global derivatives marketplace with respect to securities regulatory matters before the SEC Division of Trading and Markets
  • Assisting a major equity market participant in responding to a New York Attorney General’s Office subpoena related to high frequency trading issues
  • Filing of petition to SEC on behalf of leading Options Market Maker regarding approval of capital-raising plan proposed by Options Clearing Corporation