Susan Mild focuses her follow on monetary companies regulatory issues. She counsels broker-dealers, hedge funds, funding banks and monetary companies shoppers on enforcement points involving the Securities and Change Fee (SEC), Monetary Trade Regulatory Authority (FINRA), different self-regulatory organizations (SROs) and state and federal regulatory authorities. She has specific expertise associated to gross sales follow points, monetary and operational points, anti-money laundering, crowdfunding, cybersecurity, and cryptocurrencies.
Beforehand, Sue was a senior vice chairman and chief counsel of Enforcement for FINRA, the place she supervised all points of regulatory investigations, negotiations, settlements and disciplinary hearings regarding all kinds of FINRA guidelines and federal securities legal guidelines. Previous to its merger with FINRA, she served in an identical position with NYSE Regulation, Inc. and helped lead the combination of the 2 enforcement departments. Earlier, Sue was a trial lawyer within the Workplace of the District Lawyer for Bronx County, New York.
Sue is a frequent speaker on regulatory and compliance subjects for broker-dealer and securities conferences. She additionally advises a number of skilled journals on securities business subjects.