Spencer Busby

Spencer Busby represents financial institutions, public companies, accounting firms, and other regulated entities in regulatory enforcement matters, internal investigations, and criminal defense matters before the SEC, FINRA, DOJ, CFTC, and CFPB. Prior to joining Steptoe, she worked in the SEC Enforcement group of a major international law firm. Spencer has also worked in compliance on the fixed income and equity derivative trading desks of two global investment banks, and has significant experience in counseling financial institutions in compliance and enforcement matters. She has conducted internal and mandated compliance audits, including front to back trading desk reviews, reviews of supervision and accounting controls, deficiency risk assessments, and off-channel communications investigations. 

While earning her JD and MBA, Spencer also worked in market regulation at the Municipal Securities Rulemaking Board.