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
  • Business Development Companies
  • Investment Adviser
  • Mutual Funds
  • Securities Enforcement & Litigation
  • Cybersecurity & Privacy
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”) and retirement plan markets. 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.

Awards and Rankings

Recognized by The Legal 500 United States in the area of financial services: regulatory (2015)


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SEC Moves to Update Transfer Agent Rules; New Rules Likely to Impact Unclaimed Property and Cybersecurity
Eric A. Arnold,Cynthia R. Beyea,Clifford E. Kirsch,Michael B. Koffler,Susan S. Krawczyk, January 6, 2016
On December 22, 2015, the Securities and Exchange Commission took the first step in overhauling SEC regulation of transfer agents, the little-discussed but critical intermediaries involved in the prompt clearance and settlement of almost all U.S. securities. After many years in which other types of...

Hailing a CAB - Does FINRA’s Proposed Capital Acquisition Broker Rule Set Get Private Fund Sponsors to Their Desired Destination?
Eric A. Arnold,Clifford E. Kirsch,Michael B. Koffler,Susan S. Krawczyk,Yasho Lahiri, January 4, 2016
For many years, the private fund industry and the securities bar have called for a limited rule set to govern broker-dealers solely engaged in raising capital for private funds or other issuers of unregistered securities or in merger and acquisition advisory activities.1 These broker-dealers would...

SEC Charges Investment Adviser with Failure to Adopt Required Cybersecurity Policies Prior to Breach
Eric A. Arnold,Mark D. Herlach,Clifford E. Kirsch,Michael B. Koffler,Susan S. Krawczyk, September 28, 2015
On September 22, the Securities and Exchange Commission (SEC) announced that it had entered into a settlement order with R.T. Jones Capital Equities Management, Inc., a St. Louis-based SEC registered investment adviser, for failure to establish required cybersecurity policies and procedures in...

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Office Information

Susan S. Krawczyk

700 Sixth Street NW, Suite 700
WashingtonDC 20001-3980


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