Susan Merrill, who spent a total of six years as head of enforcement for the New York Stock Exchange regulatory arm and the entity that succeeded it, will join Bingham McCutchen’s broker-dealer group in New York this week. Ms. Merrill stepped down last month as chief of enforcement at the Financial Industry Regulatory Authority, a private corporation that regulates brokerage firms and trading markets. She says she made the decision to leave FINRA in February and since then had been “seriously considering” offers from “three or four other” firms in addition to Bingham.
Ms. Merrill, 53, became a partner at Davis Polk & Wardwell in 1994 and worked for the next decade before leaving for the NYSE in May 2004. She stayed at the NYSE for the next three years, joining FINRA in 2007 when it was created by the merger between NYSE’s regulatory group and the National Association of Securities Dealers. (The SEC approved the merger between the NASD and NYSE’s regulation group in July 2007.)
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