FacultyFaculty/Author Profile
K. Susan Grafton

K. Susan Grafton

K&L Gates LLP

Washington, DC, USA


K. Susan Grafton is a partner in the Washington, D.C. and New York offices of K&L Gates LLP, where she focuses her practice on advising broker-dealers and investment managers on their business, regulatory, and compliance issues. She also represents trade associations and their members on a variety of rulemaking issues related to the Dodd-Frank Act, JOBS Act, market structure, and other policy issues.

Previously, Ms. Grafton was Vice President and Associate General Counsel at Goldman, Sachs & Co., where she covered the Securities Division. She began her career in the Securities and Exchange Commission's Division of Trading and Markets.

Ms. Grafton is a former Chair of the American Bar Association's Subcommittee on Trading and Markets, and a member of the Association of Securities and Exchange Commission Alumni, 100 Women in Hedge Funds, and the Securities and Exchange Commission Historical Society. She received her LL.M. in Securities Regulation from Georgetown University Law Center and her J.D. from The Catholic University of America's Columbus School of Law.

Ms. Grafton is a member of the District of Columbia and the State of New York Bars.
 

K. Susan Grafton is associated with the following items:
Transcripts  Transcripts Investor-Related Compliance Issues - Investor-Related Compliance Issues , Tuesday, April 27, 2010
Regulatory Reform - Regulatory Reform , Tuesday, April 27, 2010
Introduction and Opening Remarks - Introduction and Opening Remarks , Tuesday, April 27, 2010
CHB Chapters  CHB Chapters Gibson Dunn, Derivatives Regulation Under the Dodd-Frank Wall Street Reform and Consumer Protection Act (July 16, 2010) - Hedge Fund Enforcement & Regulatory Developments 2010 , Monday, November 15, 2010
Gibson Dunn, The Final "Volcker Rule" Under the Dodd-Frank U.S. Financial Regulatory Reform Bill (July 12, 2010) - Hedge Fund Enforcement & Regulatory Developments 2010 , Monday, November 15, 2010
Gibson Dunn, The Dodd-Frank Act Reinforces and Expands SEC Enforcement Powers (July 21, 2010) - Hedge Fund Enforcement & Regulatory Developments 2010 , Monday, November 15, 2010
Gibson Dunn, The Regulation of Advisers to Private Funds: Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act (July 16, 2010) - Hedge Fund Enforcement & Regulatory Developments 2010 , Monday, November 15, 2010
Hedge Fund Trading-and Investor-Related Compliance Issues and Regulatory Developments - Hedge Fund Enforcement & Regulatory Developments 2010 , Monday, November 15, 2010
New Rule 13h-1: The SEC Adopts a Large Trader Reporting System - Hedge Fund Registration and Compliance 2012 , Tuesday, January 31, 2012
SEC Release No. 33-9354, Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings (August 29, 2012) - Hedge Fund Enforcement & Regulatory Developments 2012 , Wednesday, October 31, 2012
K&L Gates LLP, Legal Insight, SEC Issues Proposed Rules to Permit General Solicitation and General Advertising in Certain Private Offerings (Sept. 27, 2012) - Hedge Fund Compliance & Regulation 2013 , Tuesday, January 29, 2013
Treatise Chapters  Treatise Chapters Capital Markets and Corporate Finance Activities - Broker-Dealer Regulation , Monday, November 21, 2011
Course Handbooks  Course Handbooks Hedge Fund Registration and Compliance 2012
Hedge Fund Compliance & Regulation 2013
Audio CD  Audio CD Hedge Fund Registration and Compliance 2012 , Tuesday, February 28, 2012 , New York, NY
DVD Video  DVD Video Hedge Fund Registration adn Compliance 2012 , Tuesday, March 13, 2012 , New York, NY
On-Demand Web Programs  On-Demand Web Programs Hedge Fund Compliance & Regulation 2013 , Tuesday, February 12, 2013 , New York, NY
LiveSeminar  Live Seminar Hedge Fund Enforcement & Regulatory Developments 2012 - CANCELLED , Wednesday, October 31, 2012 , New York, NY
Hedge Fund Compliance & Regulation 2013 , Tuesday, January 29, 2013 , New York, NY
Hedge Fund Enforcement & Regulatory Developments Winter 2013 , Wednesday, March 06, 2013 , New York, NY
Print Share Email