About Susan Light
Susan Light offers clients a universe of insights gained over 30 years as a senior leader and regulatory officer inside both the New York Stock Exchange (NYSE) and the Financial Industry Regulatory Authority (FINRA). That experience and knowledge allows her to handle any securities regulatory problem that may confront broker-dealers and other financial services firms. She is particularly well suited to advise on complex investigations of securities law violations, including those involving firmwide supervisory failures.
Efficient solutions from a regulator's perspective
Sue represents large and small broker-dealers, as well as hedge funds, investment banks and other financial services providers. She helps these clients understand the regulatory landscape, design procedures to avoid regulatory problems and resolve investigations and enforcement actions. Sue's experience at the highest levels of the NYSE and FINRA is the difference that allows her to deliver quick, efficient answers and top-quality representation. And in matters that involve regulators, her extensive network of contacts allows her to successfully engage with them on her clients' behalf.
Practice Focus
- Broker-dealer regulation
- Securities regulation, investigations and compliance
- Whistleblower investigations
- Anti-money laundering rules
- Financial and operational rules (net capital, margin, customer protection)
- Cryptocurrency
- Cybersecurity
Representative Experience
News
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November 10, 2021
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June 24, 2021
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June 23, 2021
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June 10, 2021
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March 15, 2021
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February 16, 2021
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February 10, 2021
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April 10, 2020
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December 17, 2019
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Publications
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April 5, 2022
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March 3, 2022
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December 27, 2021
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November 24, 2021
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August 11, 2021
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August 6, 2021
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July 28, 2021
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March 22, 2021
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October 22, 2020
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Presentations and Events
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March 8, 2022
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November 18, 2021Speaker | Market Trading Issues and Hot Topics
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June 29, 2021Panelist
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June 2, 2021Speaker
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February 24, 2021Panelist
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October 15, 2020Panelist | Hot Topics in Securities Regulatory Enforcement.
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October 7, 2020Speaker
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June 18, 2020Panelist | Best Practices and Challenges to Address Going Forward
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May 12, 2020Co-presenter
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