FacultyFaculty/Author Profile

Stephen Luparello

U.S. Securities and Exchange Commission
Director, Division of Trading and Markets
Washington, DC, USA

Stephen I. Luparello
Division of Trading and Markets

In March 2014, Steve Luparello became Director of the SEC’s Division of Trading and Markets.

Before returning to the SEC, he was a partner at WilmerHale, specializing in broker-dealer compliance and regulation, securities litigation, and enforcement. Mr. Luparello joined WilmerHale after 16 years at the Financial Industry Regulatory Authority (FINRA) and its predecessor, the National Association of Securities Dealers (NASD) where he most recently served as Vice Chairman of FINRA. As FINRA’s Vice Chairman, Mr. Luparello was responsible for its examination, enforcement, market regulation, international, and disclosure programs. He played a key role in the creation of FINRA’s Office of the Whistleblower and its Office of Fraud Detection and Market Intelligence, and led the development of its Order Audit Trail System (OATS) and SONAR, technology used to monitor securities markets and detect suspicious trading. From 1994 to 1996, Mr. Luparello served as Chief of Staff and legal counsel to then-CFTC Chairman Mary Shapiro. He began his career with nine years at the SEC, serving as Branch Chief in the Office of Inspections in the Division of Market Regulation, now the Division of Trading and Markets.

Mr. Luparello received his law degree from Washington and Lee University in 1984. He received his B.A. in history from LeMoyne College in 1981.

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