Suzanne P. McDougall

Suzanne P. McDougall manages RRS’ advertising review services from our Washington DC, office. Ms. McDougall has over 27 years of experience with advertising review and compliance with SEC and FINRA advertising and communications requirements.

Ms. McDougall worked in the Advertising Regulation Department for FINRA/NASD for approximately 10 years, and was Supervising Analyst at the time she left the NASD. In addition to her extensive regulatory experience, Suzanne also has 8 years of direct experience running the advertising review function for major broker-dealers. In her capacity as financial advisor and compliance officer, Ms. McDougall held the Series 7 and served as a Series 24 registered principal for 9 years.

As a Supervising Analyst at FINRA/NASD, Ms. McDougall was responsible for reviewing advertising, sales literature and customer complaints for compliance with FINRA and SEC Rules. She responded to FINRA member questions regarding compliance procedures and the proper application of the Rules. She assisted examiners and investigators from other regulatory departments with their enforcement activities. She prepared and delivered oral presentations at the FINRA’s Annual Advertising Conferences.

As a Manager of Broker Dealer Compliance, Ms. McDougall was Supervising Principal for an Office of Supervisory Jurisdiction (OSJ). She supervised other registered principals located in geographically disbursed locations, provided guidance, and acted as a technical resource for team members. She acted as mediator between broker-dealers and the FINRA Advertising Department. She updated firm Advertising Compliance Manuals annually and worked on the development and annual update of the firms’ Written Supervisory Procedures. She also conducted training sessions for compliance and marketing personnel, as well as, having provided updates on NASD and SEC Rules to the firm CCO and compliance officers in the development of policies to address the new Rules.

Ms. McDougall received a Master of Science in Organizational Effectiveness with honors from Marymount University and a Master of Science in International Relations from Troy State University. She graduated summa cum laude from Inter American University with a Bachelor of Arts degree in Political Science. She holds the professional designations of Chartered Life Underwriter (CLU) and Chartered Financial Consultant (ChFC) and was licensed for life and health insurance for 8 years. She also held the Series 63, 65, and 31.

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