Senior Vice President and Chief of Staff
Lisa Horrigan is Senior Vice President and Chief of Staff for FINRA Market Regulation and Transparency Services (MRTS). Ms. Horrigan oversees a broad range of operational, regulatory and business planning activities for MRTS. She also advises and provides strategic support and direction to the Executive Vice President and senior leadership team to further enhance the department’s regulatory effectiveness and efficiency.
Ms. Horrigan joined FINRA in 2005. Prior to serving in her current role, Ms. Horrigan was an Associate General Counsel in the Capital Markets Group of FINRA’s Office of General Counsel. There, she provided legal and advisory support to MRTS, developing and interpreting rules in support of FINRA’s efforts to improve equity market structure, enhance FINRA’s audit trails and increase market transparency. Among other areas, Ms. Horrigan supported the policy, rulemaking and regulatory reporting functions relating to FINRA's Trade Reporting Facilities, OTC Reporting Facility, Alternative Display Facility and Order Audit Trail System. She also provided legal counsel for FINRA's participation in the CAT and SIP National Market System Plans. Before joining FINRA, Ms. Horrigan was an attorney with the Securities Investor Protection Corporation, and previously was in private practice with Chadbourne & Parke LLP (now known as Norton Rose Fulbright) and Cadwalader, Wickersham and Taft LLP. Prior to law school, she worked for the National Security Agency as a Russian linguist.
Ms. Horrigan graduated cum laude from Harvard Law School and earned a B.A. with honors in International Studies, with a minor in Russian, from Johns Hopkins University, where she was elected to Phi Beta Kappa.