FacultyFaculty/Author Profile

Laura Pruitt

Schiff Hardin LLP

Washington, DC, USA

Laura S. Pruitt is a partner in the Washington, D.C., office of Schiff Hardin LLP. Ms. Pruitt counsels broker-dealers, self-regulatory organizations, and other market participants (including alternative trading systems, banks, hedge funds and transfer agents) on securities law and market regulation issues, with particular emphasis on broker-dealer registration and compliance issues, trading rules, derivatives, investment adviser regulation and transfer agent rules. She also represents a variety of clients before the Securities and Exchange Commission and self-regulating organizations. She has conducted independent audits of anti-money laundering policies and procedures, and has conducted independent compliance reviews in connection with the settlement of several enforcement actions.
Laura Pruitt is associated with the following items:
Treatise Chapters  Treatise Chapters Brokers, Dealers and “Finders” - Broker-Dealer Regulation (Second Edition), Monday, September 24, 2018

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