Susan S. Krawczyk: Lawyer with Sutherland Asbill & Brennan LLP

Susan S. Krawczyk

Washington,  DC  U.S.A.

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Experience & Credentials

Practice Areas

  • Financial Services
  • Broker-Dealer
  • Financial Services Litigation
  • Insurance
  • Investment Adviser
  • Mutual Funds
  • Securities Enforcement & Litigation
  • Privacy & Data Security
Contact InfoTelephone: 202.383.0197
Fax: 202-637-3593
University Indiana University of Pennsylvania, B.A.
Law SchoolGeorge Washington University National Law Center, J.D. Order of the Coif
Admitted1984, Virginia; 1988, District of Columbia

Professional Activities
Member, American Bar Association
Member, The Virginia Bar Association
Member, National Society of Compliance Professionals
Member, Association of Life Insurance Counsel

BornWarren, New Jersey, June 22, 1956

With a deep understanding of the financial markets, Susan Krawczyk helps broker-dealers, investment advisers and sponsors to design, sell and deliver investment products and programs that perform for investors and that raise capital. The author of compliance manuals that became models for the industry, Susan has extensive experience in day-to-day regulatory, operational and compliance issues across the retail, institutional and retirement segments of the financial markets.

Susan advises clients regularly on distribution and wholesaling arrangements for both public and private offerings, including incentive, non-cash compensation and marketing support arrangements. Susan has particular experience with firms involved in the sale and distribution of investment products and programs, such as mutual funds, variable products, real estate investment trusts, business development companies and direct participation programs, in the registered investment adviser context (i.e., the ”RIA channel“). She works with clients in establishing marketing and selling arrangements for these programs that satisfy regulatory requirements. She also assists clients with obtaining regulatory approvals for illustrations of historical and hypothetical portfolio performance and track record results.

Susan has been closely involved with numerous enterprises in the establishment, restructuring and acquisition of broker-dealer firms, and has handled numerous new member application (NMA) and continuing membership application (CMA or 1017) filings with FINRA to obtain approval of these transactions. She has developed and conducted training programs for all levels in broker-dealer firms, including sales representatives, field supervisors, home office personnel and boards of directors.

Susan represents clients before the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). She also has served on FINRA's Variable Products Committee.

Selected Experience
Sutherland counsels on underwriting arrangements for non-traded closed-end fund offering.
Sutherland counsels several different sponsors in restructuring their marketing and sales operations.
Sutherland provides monthly overviews of emerging issues affecting retirement industry.


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SEC Releases Results of 2014 Cybersecurity Exam Sweep
Clifford E. Kirsch,Michael B. Koffler,Susan S. Krawczyk,Stephen E. Roth,Mary Jane Wilson-Bilik, February 13, 2015
On February 3, the Securities and Exchange Commission (SEC) issued a Risk Alert prepared by its Office of Compliance Inspections and Examinations (OCIE) that summarizes the results of a sweep of more than 100 broker-dealers and investment advisers that OCIE undertook in 2014 in order to assess the...

FinCEN Customer Due Diligence Rule Proposal
Eric A. Arnold,Clifford E. Kirsch,Michael B. Koffler,Susan S. Krawczyk,Yasho Lahiri, August 27, 2014
On July 30, 2014, the U.S. Treasury Department’s Financial Crimes Enforcement Network (“FinCEN”) issued proposed rules (the “Proposed Rules”) to clarify and strengthen customer due diligence requirements for banks, securities broker-dealers, mutual funds, and futures...

Florida Legislature Relaxes Agency Licensing Requirements for Broker-Dealer Branch Offices Selling Insurance Products but Creates New Disclosure Requirements for Surrenders
Eric A. Arnold,Clifford E. Kirsch,Michael B. Koffler,Susan S. Krawczyk,Holly H. Smith, August 27, 2014
Under current Florida insurance laws, branch offices of broker-dealers selling insurance products in Florida are required to either “license” or “register” as agency branches (in addition to satisfying insurance producer licensing requirements). However, Florida recently...
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Office Information

Susan S. Krawczyk

700 Sixth Street NW, Suite 700
WashingtonDC 20001-3980


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