FacultyFaculty/Author Profile

Susan Light

FINRA
Senior Vice President & Chief Counsel, Enforcement Department
New York, NY, USA


Susan Light has been a senior vice president in the Department of Enforcement of the Financial Industry Regulatory Authority ("FINRA") since the integration of the NASD and portions of NYSE Regulation on July 30, 2007. Prior to the consolidation, she served as senior vice president and department head in the Division of Enforcement of New York Stock Exchange Regulation.

She is responsible for managing attorneys and investigators who investigate and prosecute violations of Exchange rules and federal securities laws. Ms. Light supervises such matters as financial and securities fraud, money laundering, subprime and auction rate securities, Regulation SHO, insider trading, stock manipulation, sales practice violations, mutual fund abuses and financial and operational violations. She serves on many regulatory panels on Enforcement topics. Sue was the NYSE Enforcement Team Leader on the integration team with the NASD. At the NYSE, she was a member of several Exchange management committees and was responsible for the integration of PCX-ARCA Enforcement into NYSE Enforcement. Sue served as an ambassador for the Exchange in hosting foreign agencies which visit the Exchange.

Prior to joining the Exchange in 1988, Ms. Light was a prosecuting attorney and supervisor in the Bronx District Attorney's office for seven years. She received her Honors B.A. in 1975 from the University of Michigan, her J.D. in 1981 from Boston University School of Law, and her LL.M. in 1986 from New York University School of Law.

Ms. Light has received the YWCA Women's Achiever Award and the Department of Defense Patriotic Employer award.

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