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Areas of Practice
Opening hours (EST) Closed now
Contact Name
Sarah Razaq Sallis
Accreditations
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- Mail unverified
About Sarah Razaq Sallis Attorney
Sarah Razaq Sallis advises broker-dealers, investment advisers, investment companies, financial institutions and public companies in private litigation and arbitration matters, as well as examinations, internal investigations and prosecutions by the Financial Industry Regulatory Authority (FINRA), the U.S. Securities and Exchange Commission (SEC), and state securities regulators.As a former attorney in FINRA’s Department of Member Regulation, Sarah offers clients deep experience in FINRA and SEC rules, including those related to Exchange Act Rule 15a-6 exemption from registration for foreign broker-dealers, FINRA membership application rules, firm and individual disclosure obligations, suitability analyses, firm supervisory obligations, and the statutory disqualification of FINRA firms and individuals. While at FINRA, Sarah was also extensively involved in matters related to senior and other vulnerable investors, including the drafting of FINRA Rule 2165 (Financial Exploitation of Specified Adults). Her in-depth understanding and extensive experience allows her to guide clients through various complex sales practice issues, regulatory matters and general compliance with federal securities laws. Sarah’s previous experience includes serving as an associate in the global financial services regulatory practice of a large international law firm. There, she advised foreign financial institutions on U.S. broker-dealer registration requirements. Sarah also interned in the Financial Institutions and Public Sector Fraud Unit of the Criminal Division of the U.S. Department of Justice, as well as with the Securities Industry and Financial Markets Association (SIFMA).
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