Jenner & Block

"New FINRA Structure and Enforcement," DC Bar Corporation, Finance and Securities Law Section, Washington, DC

On September 20, Jenner & Block Partner Larry P. Ellsworth will moderate the DC Bar "New FINRA Structure and Enforcement" program explaining the structure and programs of the new Financial Industry Regulatory Authority (FINRA), which results from the combination of the enforcement activities of the New York Stock Exchange (NYSE) and the National Association of Securities Dealers (NASD).  The featured speaker at the discussion will be Susan L. Merrill, Executive Vice President, Chief of Enforcement, at FINRA who will focus on the impact of the combination on examinations, enforcement and rules. The luncheon program will to be held at the offices of Wilmer Cutler Pickering Hale and Dorr LLP in Washington, DC.

Mr. Ellsworth, a member of the Firm’s Litigation Department and Business Litigation, Securities Litigation, Corporate, White Collar Criminal Defense and Counseling, and Securities Practices, is Chair of the DC Bar’s Broker Dealer Regulation and SEC Enforcement Committee and a member of the Steering Committee for the Corporation, Finance and Securities Law Section.  Mr. Ellsworth is also a former Assistant Chief Litigation Counsel for the U.S. Securities and Exchange Commission’s Trial Unit.