Managing Director & Associate General Counsel, Equities SIFMA
Mr. Lazo is Managing Director, Associate General
Counsel, Equities at SIFMA. In this role, Mr. Lazo heads SIFMA’s equities
activities, monitoring the impact of, and facilitating industry input on,
equity trading and market structure issues. He is the SIFMA staff advisor to
the Equity Markets & Trading Committees.
Prior to joining SIFMA, Mr. Lazo was General Counsel
of NYSE Regulation. In that role, he managed all of the legal activities of
NYSE Regulation, provided legal counsel on significant regulatory initiatives
and proposed rule changes, and provided regulatory and market structure
guidance to senior management of NYSE Euronext.
Before joining NYSE Euronext, Mr. Lazo spent more than
five years as an attorney in the Securities Industry and Capital Markets
Regulation practice of the law firm Morgan, Lewis & Bockius LLP. At Morgan
Lewis, Mr. Lazo counseled securities exchanges, market centers and
broker-dealers on a broad array of legal and regulatory matters, including
Regulation NMS, sponsored access, short sales, Regulation ATS and ETF trading.
From 1997 to 2004, Mr. Lazo worked in the SEC’s
Division of Trading and Markets, where he supervised equities and options
exchange rule filing approvals and was involved in a number of SEC rulemaking
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