CFI Professional Insights Series: Featuring Sue Light, Partner, Financial Markets & Funds, Katten Muchin Rosenman LLP

Sue Light started out as a prosecutor in the Bronx District Attorney’s office, which was the perfect training ground for her 30-year career as a senior leader and regulatory officer inside both the New York Stock Exchange (NYSE) and the Financial Industry Regulatory Authority (FINRA). Currently, as a partner at Katten Muchin Rosenman LLP, Sue applies that experience for clients on a broad range of issues.

In her interview with CFI, Sue covers:

  • Why she switched her career path from psychology to law
  • Her personal experience at the 9-11 terrorist attack
  • What the NYSE / NASD merger achieved
  • How an 80-year-old investor tripped up a notorious financial scammer
  • NASSA’s position on how well firms are adopting Reg BI
  • Advice for young women considering a legal career

To learn more about Sue, and her opinions on a wide range of topics, click here to read our entire interview.