Suzanne E. Rothwell joined Skadden, Arps as counsel in the firm’s Corporate Finance Group in 2001, after serving for 20 years in increasingly responsible positions with the Financial Industry Regulatory Authority, Inc (FINRA).  At FINRA, she held positions as associate director of the corporate financing department, associate general counsel for FINRA and chief counsel for corporate financing.  At NASDAQ, she served as special counsel on the PORTAL Market and the development of trade reporting for debt securities.

Ms. Rothwell’s practice is concentrated in the areas of corporate financing, underwriting, market listing and corporate governance requirements, and broker/dealer compliance, and includes issues related to real estate investment trust and tenants-in-common interests.  She provides advice to issuers of securities on issues related to public offerings and private placements and compliance with NYSE and NASDAQ listing requirements, including representation of NASDAQ issuers in delisting appeal proceedings.  Ms. Rothwell also provides advice to broker/dealers on issues related to compliance with SEC Regulation M and other offering-related regulations and FINRA conduct rules, particularly the underwriting and research analyst regulations.

Ms. Rothwell chairs the FINRA Corporate Financing Rules Subcommittee and serves on other subcommittees of the Federal Regulation of Securities Committee of the Business Law Section of the American Bar Association.