Cindy assists investment company clients with registration, reporting and disclosure requirements, as well as with fund governance and compliance matters. She also regularly advises clients with respect to Section 529 college savings plans. In addition, she counsels clients on SEC and Financial Industry Regulatory Authority (FINRA) requirements for investment company advertisements and sales literature, ensuring that all print and electronic documentation meets the various rules and regulations before being published. Cindy is a member of the business law section of the American Bar Association and of the corporation, finance and securities law section of the District of Columbia Bar. She is a member of the Maryland and District of Columbia bars.
Advised clients with registration, reporting and disclosure requirements.
Advised clients on federal securities laws.
Advised program managers to 529 college savings plans.
Member, Business Law Section, American Bar Association
Member, Corporation, Finance and Securities Law Section, District of Columbia Bar