Jutta Frankfurter advises mutual funds, closed and open-ended funds, investment advisers, business development companies (BDCs) and Fortune 500 insurance companies with registered insurance products on the application of U.S. federal securities laws and regulations promulgated by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA).
Jutta counsels on compliance with, and exemptions from, the Investment Company Act of 1940. She also has experience helping investment companies and broker-dealers develop and administer comprehensive compliance programs as well as meet disclosure and reporting obligations under the Securities Act of 1933 and the Exchange Act of 1934.
Prior to joining Sutherland, Jutta worked as an associate with a large international law firm in Washington, DC, where she advised on regulatory and compliance matters involving U.S. federal securities laws. Jutta serves as an arbitrator on the roster of the FINRA Dispute Resolution forum.