Neal Sullivan is co-chair of Bingham’s Securities Area, a 120-attorney group within the firm. He is also practice group leader of the firm's Broker-Dealer Group. Neal conducts a comprehensive securities regulatory practice and maintains a particular focus on broker-dealer and investment adviser matters. He regularly represents clients before the SEC, FINRA and other self-regulatory organizations and state securities agencies, frequently concerning emerging regulatory issues. In addition, he has extensive experience with private and public investigations and enforcement proceedings brought by the SEC, FINRA and its predecessor entities (NASD and NYSE) and state agencies. Neal serves as outside counsel to the Boston Options Exchange and to Bourse de Montréal with regard to U.S. registration issues. He was formerly outside counsel to the Boston Stock Exchange.
Neal has appeared before the U.S. Congress to provide testimony on various SEC proposals and proposed federal oversight of the U.S. capital markets. He is the former executive director of the North American Securities Administrators Association and a former vice president, regulation, of the Boston Stock Exchange. Prior to his tenure at the Boston Stock Exchange, Neal was the chief of the Massachusetts Securities Division. He has authored several published articles on regulation of broker-dealers.
Neal appears regularly on industry and legal panels that address issues of concern to the securities industry. He co-chaired the PLI course on broker-dealer regulation in NYC in Fall 2007. Neal was an invited speaker at the first and second annual NYSE Regulation securities conferences; he also speaks at FINRA's fall and spring annual conferences, as well as the SIFMA annual meeting and certain SIFMA regional meetings.more » « less