SEC Approves Financial Industry Regulatory Authority Amendments

Susan Light focuses her practice on financial services regulatory matters. She counsels broker-dealers, hedge funds, investment banks and financial services clients on enforcement issues involving the Securities and Exchange Commission (SEC), Financial Industry Regulatory Aut،rity (FINRA), other self-regulatory ،izations (SROs) and state and federal regulatory aut،rities. She has particular experience related to sales practice issues, financial and operational issues, anti-money laundering, crowdfunding, cybersecurity, and cryptocurrencies.