FINRA Rule Restricts Ability to be a Beneficiary or Hold Position of Trust

Susan Gentle focuses her observe on monetary providers regulatory issues. She counsels broker-dealers, hedge funds, funding banks and monetary providers 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 observe points, monetary and operational points, anti-money laundering, crowdfunding, cybersecurity, and cryptocurrencies.

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