The Empirical Research Group at UCLA

University of California, Los Angeles pic
University of California, Los Angeles
Image: law.ucla.edu

 

Sylvia Scott is a lawyer and partner with Freeman, Freeman & Smiley, LLP, focusing her work as an attorney on securities regulations. An alumna of Loyola Marymount University, attorney Sylvia Scott earned her JD from the University of California, Los Angeles, School of Law (UCLA Law).

Recognized as a trailblazer in legal education and training, UCLA Law created the Empirical Research Group (ERG) in the 1990s. ERG focuses on designing and implementing quantitative research in public policy and law.

Faculty members associated with the methodology-oriented group have written extensively on a wide range of topics, encompassing campaign finance disclosure, gay rights, pollution prevention, legal aid, and bankruptcy.

ERG students can select a topic of their choice to improve their skills in data analysis, research design, and statistics. Students involved in the ERG program also have the opportunity to take part in special courses such as public interest law, housing issues, and bankruptcy law along with having the chance to work with prominent researchers in a work study program.

University of California, Los Angeles Hosts Sixth Annual Tax Symposium

University of California, Los Angeles pic
University of California, Los Angeles
Image: law.ucla.edu

A securities regulation and litigation lawyer with over 30 years of legal experience, Sylvia Scott serves as an attorney and partner at the California-based Freeman, Freeman & Smiley, LLP and manages its Securities Regulation Practice Group. Sylvia Scott received her juris doctor from the University of California, Los Angeles School of Law (UCLA Law), which hosts a variety of events that include the Sixth Annual NYU/UCLA Tax Policy Symposium.

The annual Tax Symposium focuses on tax policy issues from a legal and economic perspective and establishes a forum for policymakers, scholars, and practitioners to perform analyzations and consider reform options. Hosted in conjunction with the New York University of Law (NYU Law), the conference builds on the symposia traditionally presented by NYU Law’s tax policy scholarship law journal and the UCLA Colloquium on Tax Policy and Public Finance.

UCLA Law students, faculty, staff and invited guests may participate in the Sixth Annual Tax Symposium, which will focus on the theme of tax policy and social mobility. Participants may also take part in minimum continuing legal education credit opportunities approved by the California State Bar. The symposium will take place on October 7, 2016 and will receive co-sponsoring by the NYU School of Law and the UCLA Law’s Lowell Milken Institute for Business Law and Policy.

FINRA Regulatory and Examinations Priorities Letter

Financial Industry Regulatory Authority, Inc. (FINRA) Image: finra.org
Financial Industry Regulatory Authority, Inc. (FINRA)
Image: finra.org

A partner at Freeman, Freeman & Smiley, LLP, in Los Angeles, attorney Sylvia Scott leads the firm’s Securities Regulation Practice Group. A lawyer with tremendous exposure to matters involving securities regulatory compliance, Sylvia Scott’s focus as an attorney is on helping clients abide by the regulations of the Financial Industry Regulatory Authority, Inc. (FINRA).

FINRA issues the Regulatory and Examination Priorities Letter (the “Letter”) annually to serve as a guide for brokers and dealers on the regulatory concerns it will focus its examinations on that year.

Firms should use the Letter in applying changes to their business model, so as to be prepared in case of regulatory examinations. If the Letter has earmarked due diligence and long-term stability, a firm engaged in private placements should review its operations to strengthen controls in these areas.

With regard to large firms with multiple departments, the Letter should be circulated to the various departments. Afterwards, a meeting between the executive council and department representatives should be held to discuss the extent to which the Letter extends to the risky segments of each department and how they can remedy that. The modifications should be considerate and timely.

For smaller firms, similar measures should be taken, even if they have a much smaller size or fewer departments.