Joseph Brady joined the North American Securities Administrators Association, Inc. (“NASAA”) in 2005 as associate counsel. In 2011, he was appointed General Counsel and in May 2015 was named as NASAA’s Executive Director. 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 NASAA’s century-old mission of investor protection across North America. During his time at NASAA, Mr. Brady’s responsibilities have included supporting NASAA’s representative on the Financial Stability Oversight Counsel and various committees including the NASAA Broker/Dealer and Investment Adviser Section Committees. He has also worked extensively with NASAA’s CRD/IARD Steering Committee. He has led several initiatives undertaken by NASAA 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.