Sylvia Scott and Regulatory Compliance

Sylvia Scott, Attorney pic
Sylvia Scott, Attorney

As a Los Angeles-based attorney with a focus in regulatory compliance, Sylvia Scott helps the broker-dealer community prepare for routine or cause examinations from the U.S. Securities and Exchange Commission (SEC). Sylvia Scott also assists firms and individual brokers when they are subject of a regulatory inquiry. He background at FINRA and the SEC enable her to provide particular insightful guidance in these situations.

Sylvia Scott studied at UCLA and previously served as enforcement counsel of the Financial Industry Regulatory Authority (then known as the NASD) and the SEC.


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