FacultyFaculty/Author Profile
Suzanne Rothwell

Suzanne Rothwell

Rothwell Consulting LLC
Managing Member
Vienna, VA, USA


Suzanne Rothwell began a twenty-year career at the Financial Industry Regulatory Authority, Inc. (FINRA) (then the NASD) working in the Corporate Financing Department and went on to serve in increasingly responsible positions during which she was Associate General Counsel for ten years with responsibility for all NASD/Nasdaq rulemaking, followed by four years as Chief Counsel of the Corporate Financing Department and Special Counsel to The Nasdaq Stock Market.  Her special area of expertise focused on FINRA’s underwriting rules.  Suzanne Rothwell joined Skadden, Arps, Slate, Meagher & Flom LLP’s Washington, D.C. office as Counsel from 2001 to 2010, where she was a member of the firm's Corporate Finance and Securities Regulation Group and continues to provide consulting services. Suzanne keeps the securities bar up to date on certain FINRA rules through her treatises in the Matthew Bender Securities Law Techniques treatise on "FINRA Rules for Public Offerings,” “FINRA Rules for Private Placements,” and “Listing Securities on a Stock Exchange and Other Secondary Market Trading Matters.”

 Ms. Rothwell is a former Chair of the ABA’s FINRA Corporate Financing Rules Subcommittee.  She graduated from The George Washington University in Washington, DC receiving a Juris Doctor, MBA in Finance and Investments, and BBA degree.

Suzanne Rothwell is associated with the following items:
CHB Chapters  CHB Chapters FINRA Regulation of Broker/Dealer Participation in Sales of Private Placements (March 2017) - Private Placement and Hybrid Securities Offerings 2017, Monday, May 22, 2017
Web Segment  Web Segment Considerations for Broker-Dealers Selling Private Placements - Private Placement and Hybrid Securities Offerings 2017, Wednesday, May 24, 2017
MP3 Audio  MP3 Audio Considerations for Broker-Dealers Selling Private Placements - Considerations for Broker-Dealers Selling Private Placements, Wednesday, May 24, 2017
Transcripts  Transcripts Considerations for Broker-Dealers Selling Private Placements - Considerations for Broker-Dealers Selling Private Placements, Wednesday, May 24, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Considerations for Broker-Dealers Selling Private Placements - Considerations for Broker-Dealers Selling Private Placements, Wednesday, May 24, 2017
On-Demand Web Programs  On-Demand Web Programs Private Placement and Hybrid Securities Offerings 2017, Friday, May 26, 2017, New York, NY
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