FINRA Requests Comment on Qualification Examinations

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 Trade Fee (SEC), Monetary Business Regulatory Authority (FINRA), different self-regulatory organizations (SROs) and state and federal regulatory authorities. She has explicit expertise associated to gross sales follow points, monetary and operational points, anti-money laundering, crowdfunding, cybersecurity, and cryptocurrencies.

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