FacultyFaculty/Author Profile

Lauren C. Mullen

Bank of America Merrill Lynch
Assistant General Counsel and Director, Equities
New York, NY, USA


Lauren Mullen is a securities regulatory attorney with more than 20 years of experience.  She is an Assistant General Counsel for Bank of America Merrill Lynch, covering their Cash Equities operations, including research sales, exchange traded funds, program trading, electronic and algorithmic trading, and the commission management businesses.  She provides legal and regulatory guidance on matters involving market structure, sales and trading issues, and the licensing and registration of broker-dealers and investment advisors.  Lauren earned her JD from the College of William and Mary in 1992 and her undergraduate degree from Columbia University in 1988.  Prior to working at Bank of America Merrill Lynch, she held positions at UBS Investment Bank, the law firm of Orrick, Herrington & Sutcliffe, and the SEC's Division of Trading and Markets
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