Susan Poklemba
Susan is experienced in advising on federal financial regulation. She has advised on major rulemakings, regulatory initiatives, and policy matters affecting market participants. Her work has touched on exchange listing standards, trade reporting, securities lending, Treasury clearing, coordination among financial regulators, privacy and cybersecurity requirements, implementation of the Consolidated Audit Trail, and disclosure requirements for alternative trading systems. She has also advised on complex exchange-traded and derivatives products and requests for regulatory relief.
Susan's experience extends to cross-border financial regulation. She has worked on international standard-setting, financial services provisions in trade agreements, foreign investment reviews, and coordination with regulators and market participants. This perspective helps clients understand how regulatory developments may affect their operations and broader business strategies.
Related Industries
Experience
Government Experience
- U.S. Securities and Exchange Commission (SEC)
- Senior special counsel, Legal Review Office, Division of Trading and Markets, 2026
- Special counsel, Office of Chief Counsel (OCC), Division of Trading and Markets, 2020 – 2023
- Attorney-adviser, Office of Market Supervision, Division of Trading and Markets, 2017 – 2020
- Counsel, Office of Commissioner Crenshaw, 2023 – 2025
Representative Matters
- Reviewed major securities rulemakings and regulatory actions affecting broker-dealers, exchanges, clearing agencies, transfer agents, and other market participants as well as engaging in related legislative analysis
- Advised on complex exchange-traded products and coordination between U.S. financial regulators on market and derivatives issues
- Helped implement the Consolidated Audit Trail, which included related rulemaking, requests for regulatory relief, and guidance to market participants
- Reviewed proposed rules and filings involving exchange listing standards, trade reporting, high-frequency trading, arbitration, sales practices, and other broker-dealer and market structure issues
- Advised on privacy and cybersecurity requirements affecting financial institutions, including amendments to Regulation S-P
- Worked on international financial regulatory matters, including standard-setting initiatives, financial services provisions in trade agreements, foreign investment reviews, and cross-border regulatory coordination
Insights
Credentials
Education
- Securities and Financial Regulation Certificate Georgetown University Law Center 2022
- J.D. UCLA School of Law 2016
- UCLA-RAND Empirical Legal Scholar
- Articles editor, UCLA Journal of International Law and Foreign Affairs
- International Business Law Exchange, Keio Law School, Tokyo, Japan
- B.A. Classical Languages and Literatures University of Maryland 2004
- Phi Beta Kappa
Bar Admissions
- New York
Recognition
- Avery Prize for Excellence in Latin, University of Maryland, 2024