NYSE appoints regulatory GC ahead of listing

The New York Stock Exchange (NYSE) has rejigged its legal team ahead of its merger with publicly-listed company Archipelago Holdings.

James Duffy, a senior vice president since 1999 and deputy general counsel since 2004, has been promoted to the position of executive vice president and general council, NYSE regulation.

The regulation general counsel position is newly created, and Duffy, 56, will report to chief regulatory officer Richard Ketchum.

Rich Bernard, 55, remains executive vice president and general counsel NYSE, a position he has held since January 1, 1996. He joined the exchange from Millbank Tweed Hadley & McCloy.

William Freeman remains senior vice president and deputy general counsel, corporate and transactions practice.

Duffy’s previous role saw him responsible for working with the global corporate client group, corporate and financial departments and competitive position group.

The NYSE membership approved the merger with Archipelago Holdings in December, and the deal is expected to close in March.