
Sarah Razaq Sallis
Professional Bio
Leveraging her experience in the Financial Industry Regulatory Authority’s (FINRA’s) Department of Member Regulation and more than a decade in private practice at global firms, Sarah helps clients confidently navigate securities regulations and implement compliance strategies aligned with their business models.
SEC Charges Former Executives of Subprime Auto Lender Over Alleged $1.9 Billion ABS Fraud
Government Enforcement, Compliance & Investigations Report ·
Agents at the Gate: AI, Agentic Trading, and the Regulatory Frontier
Government Enforcement, Compliance & Investigations Report ·
No Harm, No Foul? Not Anymore: What Sripetch Means for SEC Defendants
Government Enforcement, Compliance & Investigations Report ·
Well, Well, Wells: The SEC Reshapes Its Enforcement Program and Silences the Gag Rule
Government Enforcement, Compliance & Investigations Report ·
How SEC-CFTC Harmonization Is Changing Crypto Regulation: What It Means for Your Business
Government Enforcement, Compliance & Investigations Report ·