James Barry

In this role, he covers the margin rules, FINRA Rule 4210 and Regulation T. This entails assisting both internal and external stakeholders with understanding the application of the rules and as well as developing amendments and new interpretative guidance. Prior to joining FINRA, he spent over 28 years at Morgan Stanley. During that time, he supported the integrated prime brokerage business covering multiple asset classes including equities, listed and OTC derivatives and their associated regulatory margin requirements. He is a past president and board member of the SIFMA Credit and Margin Section. He also represented Morgan Stanley on the FINRA 4210 Committee and chairs the committee in his current position with FINRA. Additionally, he has over 35 years of margin and credit risk management experience covering both institutional and retail clients.