Skip to main content

The SEC Speaks in 2021


Speaker(s): A. Kristina Littman, Ahmed A. Abonamah, Andrea Ottomanelli Magovern, Brian M. Johnson, Bridget Fitzpatrick, Brooke Wagner, C. Dabney O'Riordan, Carmen Taveras, Carol McGee, Daniel S. Kahl, Daniel Staroselsky, David H. Saltiel, David Lisitza, David S. Shillman, Dominick V. Freda, Dr. Oliver M. Richard, Elizabeth M. Murphy, Eric Reicher, Giulio Girardi, Gurbir S. Grewal, Hon. Allison Herren Lee, Hon. Caroline A. Crenshaw, Hon. Elad L. Roisman, Hon. Gary Gensler, Jeffrey A. Berger, Jeffrey S. Mooney, Jennifer B. McHugh, Jenson Wayne, John C. Roeser, John J. Fahey, John S. Polise, Jonathan H. Hecht, Josephine J. Tao, Julie Marlowe, Karen J Shimp, Keith E. Cassidy, Kerry J. Dingle, Kristin A. Snyder, Lindsay McCord, Lisa M. Kohl, Martha Legg Miller, Matthew S. Jacques, Michael A. Conley, Michael A. Macchiaroli, Michael P. Seaman, Michele M. Anderson, Nekia Hackworth Jones, Pamela A. Gibbs, Parisa Haghshenas, Paul Munter, Peter Dixon, Philip Holmes, Rachel M. McKenzie, Rebecca Olsen, Renee Jones, Rick A. Fleming, Sanjay Wadhwa, Sarah G. ten Siethoff, Tamara M. Brightwell, Thomas K. McGowan, Thomas Karr, Timothy Husson, Tracey A. Hardin, Tracey L. Sasser
Recorded on: Oct. 12, 2021
PLI Program #: 303961

Dr. Oliver M. Richard is Deputy Director in the Division of Economic and Risk Analysis. He joined the Commission from the U.S. Government Accountability Office where he was the Chief Economist. He has also served as Assistant Chief for Competition Policy and Economic Litigation in the U.S. Department of Justice's Antitrust Division, and was an Assistant Professor of Economics and Management at the University of Rochester. He received his Ph.D. from Northwestern University and a B.A. from Swarthmore College. 

 


Mr. John Fahey is the Deputy Chief Counsel of the Division and Trading and Markets, which oversees the major securities market participants and infrastructure including, among others, broker-dealers, and self-regulatory organizations (including stock exchanges, and the Financial Industry Regulatory Authority).   

Mr. Fahey has been on the staff of the SEC’s Division of Trading and Markets, Office of Chief Counsel, since 2004. During his time at the Commission, he has been involved in a range of investor protection, compliance, and securities markets efforts involving Division rulemakings, no-action letters, and SRO rule filings.  

Mr. Fahey is a graduate of the Georgetown University Law Center (J.D., magna cum laude), Georgetown University (M.A., English), and Lafayette College (B.A., Economics and English). 


Nekia Hackworth Jones serves as the Director of the Atlanta Regional Office (ARO) for the U.S. Securities & Exchange Commission.  With over 100 professionals, the ARO conducts investigations into possible violations of the federal securities laws, prosecutes the agency’s administrative proceedings and civil suits in federal courts, and conducts examinations of registered entities and individuals.  

Ms. Jones joined the Commission in March 2021 from the Atlanta office of Nelson Mullins Riley & Scarborough LLP, where she was a litigation partner specializing in government investigations, internal investigations, and white-collar criminal defense.  Prior to joining Nelson Mullins, Ms. Jones spent nearly a decade in government service.  Ms. Jones worked as an Assistant United States Attorney in the U.S. Attorney’s Office for the Northern District of Georgia, where she investigated and prosecuted complex fraud cases, including securities and investment fraud, mortgage fraud, tax fraud, healthcare fraud, and public corruption. She also served in the Department of Justice’s Office of the Deputy Attorney General in Washington, D.C., first as Senior Counsel to the Deputy Attorney General, and then as Associate Deputy Attorney General and Executive Director of the Financial Fraud Enforcement Task Force. 

Earlier in her career, Ms. Jones worked as an associate at Debevoise & Plimpton LLP in New York, NY, and Nelson Mullins Riley & Scarborough LLP in Atlanta, GA.  Ms. Jones also served as a law clerk to the Honorable Sterling Johnson, Jr. of the U.S. District Court for the Eastern District of New York.  Ms. Jones received a Bachelor of Business Administration degree (cum laude) from Emory University in 1999, and J.D. and M.B.A. degrees from Harvard University in 2004. 


Julie Marlowe is the Assistant Director of the Office of Structured Disclosure (OSD) in the Division of Economic and Risk Analysis (DERA) at the U.S. Securities and Exchange Commission (SEC). OSD collaborates with other SEC Divisions and Offices to design data structuring approaches for required disclosures and supports the SEC’s data collections and usage by designing taxonomies, validation rules, data quality assessments, and applications for conducting data analyses. 

Ms. Marlowe joined DERA as a senior staff accountant and managed taxonomies process and led efforts in conducting data quality assessments. She also participated in rulemakings and assisted with developing data analytical applications.  

Prior to her time in DERA, Ms. Marlowe reviewed filings to monitor registrants’ compliance with disclosure and accounting requirements in the SEC’s Division of Corporation Finance. Before her time at the SEC, Ms. Marlowe was an Assurance Manager at KPMG, LLP.  

Ms. Marlowe is a Certified Public Accountant and serves as an observer on the Financial Accounting Standards Board’s Taxonomy Advisory Group.  


Josephine J. Tao is Assistant Director for the Office of Trading Practices in the SEC's Division of Trading and Markets. Ms. Tao graduated “with high honors” from the George Mason University School of Law in 1997.  She was a business and tax associate at Porter, Wright, Morris and Arthur LLP before joining the SEC in 2000.   She was previously an attorney in the Division’s Office of Enforcement Liaison and Institutional Trading and a branch chief in the Office of Trading Practices.


Tracey L. Sasser joined the Securities and Exchange Commission in June 2021 as Associate General Counsel for Litigation and Administrative Practice in the Office of the General Counsel (OGC).  As an Associate General Counsel, Ms. Sasser leads her group in its provision of legal advice and representation to the Commission and SEC Divisions and Offices on a wide range of matters involving the operations and management of the agency, the defense of third-party litigation, and the handling and disposition of allegations of attorney misconduct. 

Prior to joining the SEC, Ms. Sasser enjoyed a long tenure serving as the Assistant General Counsel for the Division of Business and Administrative Law at the U. S. Department of Education where she led a team in practice areas including employment and labor relations, procurement and appropriations, the Freedom of Information Act, suspension and debarment, and intellectual property.  She also served as the chief legal advisor to senior leadership on all matters involving workforce planning, policies, and regulations.  Ms. Sasser earned her Juris Doctorate from the University of North Carolina, School of Law in Chapel Hill, North Carolina and her Bachelor of Science degree in Elementary Education from the University of Maryland, College Park.  


Ahmed is the Acting Director of the Office of Credit Ratings (OCR) of the U.S. Securities and Exchange Commission (SEC). OCR is charged with administering the Commission’s rules with respect to the practices of nationally recognized statistical rating organizations (NRSROs) in determining credit ratings for the protection of users of credit ratings and in the public interest; promoting accuracy in credit ratings issued by NRSROs; and working to ensure that credit ratings are not unduly influenced by conflicts of interest and that NRSROs provide greater transparency and disclosure to investors.

Prior to joining OCR, Ahmed served in a variety of roles in the SEC’s Office of Municipal Securities (OMS) including, most recently, as OMS’ Deputy Director. While in OMS, Ahmed played a leading role in the development and implementation of the SEC’s regulation and oversight of the municipal securities market. Prior to joining the SEC, Ahmed worked as a public finance attorney at Squire Patton Boggs (US) LLP where he served as bond counsel, underwriter’s counsel, and disclosure counsel on a wide variety of public finance transactions. Ahmed received his B.A. in political science from the University of Dayton, and earned his J.D. from Case Western Reserve University School of Law.


Allison Herren Lee was appointed by President Donald Trump to the U.S. Securities and Exchange Commission, unanimously confirmed by the U.S. Senate, and sworn into office on July 8, 2019.

Commissioner Lee brings to the SEC over two decades of experience as a securities law practitioner. Most recently, she has written, lectured, and taught courses internationally in Spain and Italy on financial regulation and corporate law. Commissioner Lee served for over a decade in various roles at the SEC, including as counsel to Commissioner Kara Stein, and as Senior Counsel in the Division of Enforcement’s Complex Financial Instruments Unit. In addition, she has served as a Special Assistant U.S. Attorney, was a member of the American Bar Association’s former Committee on Public Company Disclosure, and participated on a USAID project in Armenia, assisting in the drafting of periodic reporting and disclosure provisions for a comprehensive law of the Republic of Armenia on Securities Market Regulation.

Prior to government service, Commissioner Lee was a partner at Sherman & Howard LLC, focusing on securities, antitrust, and commercial litigation. A member of the Colorado bar, she holds a bachelor’s degree in Business from the University of Colorado and a JD from the University of Denver College of Law, where she was salutatorian, a Chancellor’s Scholar, and served on the Law Review.


Brian McLaughlin Johnson is an Assistant Director in the Rulemaking Office in the SEC’s Division of Investment Management. Mr. Johnson heads the Division’s Investment Company Regulation Office, which is responsible for rulemaking activities under the Investment Company Act in the Division and provides advice on policy initiatives affecting the asset management industry. Before joining the SEC in 2010, Mr. Johnson was an associate at the Washington, D.C. offices of K&L Gates and WilmerHale. Mr. Johnson received his B.A. from the University of Delaware and his J.D. from the George Mason University School of Law.


Brooke Wagner is a Senior Counsel in the Securities and Exchange Commission’s Office of the General Counsel.  She is a member of the Office’s Appellate Group, where she handles litigation before the federal courts of appeals.

Prior to joining the Commission, Brooke was a litigation associate at Debevoise & Plimpton LLP.  She has clerked for Judge Guido Calabresi of the United States Court of Appeals for the Second Circuit and Judge Naomi Reice Buchwald of the United States District Court for the Southern District of New York. 

Brooke received her J.D. from Harvard Law School, where she was a member of the Harvard Law Review and a recipient of the Sears Prize, and her B.A. from Yale University.   


C. Dabney O’Riordan is Co-Chief of the Asset Management Unit (AMU) in the SEC’s Division of Enforcement.  The AMU is dedicated to identifying misconduct in the asset management industry, including investment advisers to separately managed accounts, registered investment companies, and private funds.  In leading the AMU, Ms. O’Riordan manages attorneys and industry experts located in Washington, DC and nine of the SEC’s regional offices.  Ms. O’Riordan joined the SEC’s Los Angeles Regional Office in 2005 as a staff attorney and became a member of the AMU when it was first formed in 2010.  In 2012, after working as counsel to the Director of the Division of Enforcement, Ms. O’Riordan became an Assistant Director supervising investigations.  Before joining the SEC, Ms. O’Riordan was a litigation associate at Munger, Tolles & Olson LLP, and served as a law clerk to the Honorable David R. Thompson of the U.S. Court of Appeals for the Ninth Circuit.  She received her J.D. from the University of California, Los Angeles and her undergraduate degree from Wellesley College.  Ms. O’Riordan is based in the Los Angeles, California.


Carol McGee is the head of the Office of Derivatives Policy in the SEC’s Division of Trading and Markets.  In that role she directs rulewriting and other implementation projects relating to Title VII of the Dodd-Frank Act and the regulation of security-based swaps under U.S. law.  She also provides interpretive advice on the regulatory treatment of novel derivative products under the Exchange Act, and administers the new product provisions contained in the Dodd-Frank Act.  In addition, Ms. McGee is a part of the cross-divisional and interagency teams responsible for the Volcker Rule. 

She was previously a Partner at Alston & Bird LLP and the co-leader of its securities practice group.  Ms. McGee also served as Deputy Chief Counsel in the SEC’s Division of Corporation Finance.  Ms. McGee holds a J.D. from the University of Virginia, an M.Phil from the University of St. Andrews and a B.A., magna cum laude, from Wellesley College.


Caroline A. Crenshaw was unanimously confirmed by the U.S. Senate, and sworn into office as a Commissioner of the Securities and Exchange Commission on August 17, 2020. 

Commissioner Crenshaw brings to the SEC a range of securities law and policy experience and a commitment to public service and the SEC’s mission. Most recently, she served as Counsel to Commissioners Kara Stein and Robert Jackson, focusing on strengthening investor protections in our increasingly complex markets. 

Commissioner Crenshaw also served as a career SEC staff attorney in the Office of Compliance Inspections and Examinations and the Division of Investment Management, helping oversee the institutions that manage millions of Americans’ savings. In addition, Commissioner Crenshaw currently serves as a captain in the United States Army Reserve, Judge Advocate General’s Corps. 

Prior to government service Commissioner Crenshaw practiced law in the Washington, D.C., office of Sutherland, Asbill and Brennan LLP. At Sutherland she represented public companies, broker-dealers, and investment advisers on complex securities law investigations and enforcement matters. 

Commissioner Crenshaw graduated cum laude from Harvard College and received a law degree magna cum laude from the University of Minnesota. She is a native of Washington, D.C., where she currently resides. 


Daniel Staroselsky is a Senior Litigation Counsel in the Office of the General Counsel at the Securities and Exchange Commission.   Dan has served as a member of the Office’s Appellate Group since November 2011.  He joined the group after working for a year in the Commission’s Division of Trading and Markets.

Dan graduated from the Georgetown University Law Center in 2006, where he was a member of the Georgetown Law Journal.  Before joining the Commission, he practiced in the Supreme Court and Appellate Litigation group at Mayer Brown in Chicago, IL, and clerked for Judge Kathryn A. Oberly of the District of Columbia Court of Appeals.


David D. Lisitza is a member of the Securities and Exchange Commission’s Appellate Group, where he writes briefs and argues cases in the federal courts of appeals. 

David focuses on insider trading, and wrote the SEC’s appellate briefs in Salman, Newman, Rajaratnam, Gupta, Obus, and Dorozhko.  He also briefs remedies issues, including in Liu and Gabelli.  And he works on a range of digital asset issues, such as bitcoin exchange-traded products and initial coin offerings.         

David clerked for Judge Frank H. Easterbrook.  He also worked on appeals for Mayer Brown and Gibson Dunn.  David received both his J.D. and B.A. from the University of Chicago.


David Shillman is an Associate Director in the SEC’s Division of Trading and Markets, where he is responsible for oversight of the U.S. equity and debt markets.  Prior to that time, he served in a variety of positions in the Division, including Counsel to the Director and International Counsel.  Mr. Shillman was in private practice in New York and Washington, D.C. before joining the SEC in 1995.  He is a graduate of Northwestern University and the University of Michigan Law School.


Dominick V. Freda is an Assistant General Counsel in the Office of the General Counsel at the Securities and Exchange Commission.   Donnie has served as a member of the Office’s Appellate Group since December 2003.  He joined the Commission’s staff from Jones Day, where he had been an associate in the firm’s Issues and Appeals practice group in Washington, D.C.

Donnie graduated cum laude from the University of Pennsylvania Law School in 1998, where he was a member of the University of Pennsylvania Law Review and the National Trial Advocacy Team.  After graduating, he clerked for Judge Morton I. Greenberg of the United States Court of Appeals for the Third Circuit.


Elad L. Roisman was appointed by President Donald Trump to the U.S. Securities and Exchange Commission (SEC) and was sworn into office on September 11, 2018.

Commissioner Roisman joined the SEC from the U.S. Senate Committee on Banking, Housing, and Urban Affairs, where he served as Chief Counsel. In that role, and as Securities Counsel on the Committee, he counseled Chairmen Mike Crapo (R-ID) and Richard Shelby (R-AL), as well as members of the Committee, on securities, financial regulation, and international financial matters. Commissioner Roisman worked on drafting several pieces of legislation that became law and played an integral role in the drafting and negotiation of the Economic Growth, Regulatory Relief, and Consumer Protection Act.

Before working in the Senate, he served as Counsel to SEC Commissioner Daniel M. Gallagher, focusing on enforcement and policy relating to the U.S. equity and fixed income markets, the asset management industry, and international regulation of capital markets. Prior to joining the SEC, he held positions as a Chief Counsel at NYSE Euronext and an associate at the law firm of Milbank, Tweed, Hadley & McCloy LLP in New York.

Commissioner Roisman earned his bachelor’s degree in History at Cornell University and his J.D. at the Boston University School of Law.


Elizabeth Murphy is Associate Director (Legal) in the Division of Corporation Finance at the U.S. Securities & Exchange Commission.  She oversees the work of three offices within the Division:  the Office of Rulemaking, Office of Small Business Policy, and Office of Enforcement Liaison.  From 2009 until March 2014, Ms. Murphy served as the Secretary of the Commission, heading the office that prepares, reviews, and maintains records of Commission action and advises the Commission and the SEC staff on administrative practices and procedures.  From 2000 until 2009, she was Chief of the Division of Corporation Finance’s Office of Rulemaking.  In that role, she oversaw teams working on numerous rules, including many required by the Sarbanes-Oxley Act of 2002.

Ms. Murphy first joined the Division in 1986 as an attorney-advisor and was promoted to special counsel in 1987.  She was made a special counsel in the Division’s Office of the Chief Counsel in 1996 and later served as counsel to Commissioner Laura S. Unger.  She also has served as an adjunct professor in the LLM Degree Program at the Georgetown University Law Center. 

She graduated with honors from the University of Virginia in 1982 and received her law degree from the University of Notre Dame in 1985.  She is a member of the Virginia bar.


Jeff Berger is a Senior Litigation Counsel in the Office of the General Counsel at the Securities and Exchange Commission.   Jeff has served as a member of the Office’s Appellate Group since December 2009.  He joined the Commission’s staff from Mayer Brown, where he had been an associate in the firm’s Chicago and Washington, D.C. offices. 

Jeff graduated magna cum laude from the Northwestern University School of Law, where he was editor-in-chief of the Northwestern University Law Review.   After graduating in 2003, he clerked for Judge Karen Nelson Moore of the United States Court of Appeals for the Sixth Circuit.


Jeffrey Mooney is an Associate Director in the SEC's Division of Trading and Markets.  He heads the Office of Clearance and Settlement where his responsibilities include developing regulatory standards for central counterparties, central securities depositories and other entities that provide clearance and settlement services.  He also represents the SEC in domestic and international policy initiatives. 

During his tenure, Jeffrey Mooney has served as counsel to former SEC Chairman Arthur Levitt, and co-chaired a working group of securities regulators and central bankers that developed the international standards for financial market infrastructures.  He has also received several SEC awards, and has been a presenter at SEC Speaks, the SEC's International Institute, and various securities industry conferences and events.  Jeffrey Mooney received a JD from Georgetown University Law Center and BA in Economics from Fisk University.


Jennifer B. McHugh is a Senior Special Counsel in the Disclosure Review and Accounting Office of the Division of Investment Management at the U.S. Securities and Exchange Commission.  Much of her work focuses on matters related to digital assets. 

Ms. McHugh previously served as a Senior Advisor to SEC Chairman Mary L. Schapiro from 2009-2012 and to SEC Chair Mary Jo White from 2013-2014.  Ms. McHugh held several prior positions within the SEC’s Division of Investment Management, including Acting Director (Nov. 2010 – Feb. 2011); Acting Associate Director (Sept. 2018 – Mar. 2019); Senior Advisor to the Director (2001-2009; 2012-2013; 2014-2017); Special Counsel and IARD Project Coordinator (2000-2001); and Attorney (1999-2000).   

Ms. McHugh received the SEC’s Distinguished Service Award in 2012 and the Excellence in Leadership Award in 2019.  She also is a three-time recipient of the SEC Chairman’s Award for Excellence and received the Chairman’s Award for Serving the Interests of Main Street Investors in 2020. 

Prior to joining the SEC, Ms. McHugh was an associate with Dechert (1994-1999), representing investment companies and investment advisers in the firm’s Investment Management Practice Group.  Ms. McHugh received her J.D., magna cum laude, from Catholic University in Washington, DC, where she was Lead Articles Editor of the Catholic University Law Review.  Ms. McHugh received her B.A., cum laude, from the University of Notre Dame in South Bend, Indiana. 


John C. Roeser is an Associate Director in the Division of Trading and Markets. In this position, he is responsible for the administration of the Division’s regulatory oversight responsibilities of U.S. securities exchanges and FINRA, alternative trading systems, and addresses issues involving market participants, products, and market structure.  Mr. Roeser joined the staff in 1998.  During his tenure, Mr. Roeser has received numerous SEC awards, including the SEC’s Jay Manning Award in 2008, which is given annually to an employee in the Division of Trading and Markets who demonstrates an outstanding commitment to excellence in preserving fair and honest markets. Mr. Roeser holds a bachelor’s degree from Michigan State University and graduated cum laude from Michigan State University College of Law. He received a master of laws in securities and financial regulation from Georgetown University Law Center.


John Polise is the Associate Director in the Office of Compliance Inspections and Examinations new Broker-Dealer/ Exchange Group (BDX).  He heads the National Examination Program for registered broker-dealers and exchanges.  Previously he lead the Market Oversight Group where he supervised  the inspection of all domestic equity and options exchanges, the operation of FINRA, the MSRB and SIPIC.    Mr. Polise has served as an Assistant Director in the SEC’s Division of Enforcement, the Division of Trading and Markets, and the Office of Compliance Inspections and Examinations.  Mr. Polise was Counsel to the Chairman of the SEC, Counsel to the Chairman of the CFTC, Counsel to the Director, Division of Enforcement at the CFTC and Counsel to the Director for Markets at the SEC’s Division of Enforcement.   He has held positions at FINRA in both Enforcement and Member Regulation.  He began his career as an Associate at Cahill Gordon & Reindel in New York and clerked for the Honorable Stanley Sporkin, US District Court for the District of Columbia.  He graduated from the University of Pennsylvania, magna cum laude in 1985 and is a 1988 graduate of New York University School of Law.   He has been an adjunct professor at Georgetown University School of Law and is currently an adjunct professor, teaching securities regulation at George Mason School of Law.


Kerry J. Dingle is a Senior Counsel in the Securities and Exchange Commission’s Office of the General Counsel.  She is a member of the Office’s Appellate Group.

Kerry clerked for Judge R. Lanier Anderson III of the United States Court of Appeals for the Eleventh Circuit. She joined the Commission from Latham & Watkins LLP, where she was an associate in the Securities Litigation & Professional Liability and Supreme Court & Appellate practice groups.

Kerry received her J.D. from Harvard Law School and her A.B. from Harvard College.


Kristin Snyder is the Deputy Director of the SEC’s Division of Examinations as well as the National Associate Director of the Investment Adviser/Investment Company Examination Program.  Ms. Snyder also serves as the Associate Regional Director for Examinations in the SEC’s San Francisco Regional Office, where she leads the examinations program.  Ms. Snyder has worked at the SEC for more than fifteen years, and previously served as a Branch Chief and a Senior Counsel in the San Francisco office’s enforcement program.  Prior to joining the SEC staff, Ms. Snyder practiced with Sidley Austin Brown & Wood LLP in San Francisco.   She earned her law degree from the University of California Hastings College of the Law, and received her bachelor’s degree from the University of California at Davis.


Lindsay McCord is the Chief Accountant for the Division of Corporation Finance at the U.S. Securities and Exchange Commission.  As Chief Accountant, she oversees financial reporting policies and practices in the Division.

Ms. McCord previously severed as a Deputy Chief Accountant for the Division’s Office of Chief Accountant where she was responsible for managing a team of highly technical and experienced accountants that provided accounting and reporting guidance to the Division.  Before joining the leadership team of the Division’s Office of Chief Accountant, she was an Associate Chief Accountant in this office with a focus on the financial services industry, financial instruments and internal control over financial reporting.  She joined the Division in the Financial Services industry group as a Staff Accountant in 2009 where she reviewed Securities and Exchange Commission filings for compliance with accounting and regulatory standards. 

Prior to joining the Commission, Ms. McCord was a Manager in the Assurance Practice at Grant Thornton in the McLean, Virginia office where she served clients primarily in the technology and services industries. 

She is a graduate of George Mason University and she is a Certified Public Accountant in the Commonwealth of Virginia.

 


Lisa M. Kohl is Acting Deputy Director to the Director of the Division of Corporation Finance at the Securities & Exchange Commission.  Prior to joining the Director’s Office, she was a Legal Branch Chief in the Division’s disclosure review program, and previously served as an attorney-advisor in the disclosure review program.  She joined the SEC in 2010.

Lisa earned her B.A. from the University of Michigan and her J.D. from the American University Washington College of Law.

 


Matt Jacques is the Chief Accountant of the SEC’s Division of Enforcement having returned to the agency in October 2018.  He had previously served as a senior forensic accountant in the SEC’s Boston Regional Office from 2007 to 2013.  He has over two decades of experience as a public accountant, regulator, expert witness and forensic accountant.  Mr. Jacques has led teams conducting complex forensic investigations in high-profile accounting, securities, anti-corruption and other financial matters.  Prior to his time at the SEC, he worked as managing director at an international advisory firm and a forensic accountant at Big Four accounting firm, where he was engaged by counsel to provide technical accounting expertise in investigations and litigation.  He began his career in public accounting as an auditor.

Mr. Jacques is a certified public accountant, certified fraud examiner and holds an accounting degree from the University of Notre Dame.


Michael A. Conley is the Solicitor at the Securities and Exchange Commission, a position that he has held since October 2015.  In that position, Mr. Conley oversees the agency’s appellate litigation and bankruptcy group.  Between September 2011 and October 2015, he was a Deputy General Counsel and from October 2000 to September 2011, he was a member of the Appellate Group within the Commission’s Office of the General Counsel.  Mr. Conley joined the Commission’s staff from Pillsbury Madison & Sutro LLP, where he had been a partner in the firm’s Washington, DC office. 

Mr. Conley graduated in 1989 from Boston University School of Law, where he was editor-in-chief of the law review.  He clerked for Judge Abner J. Mikva of the United States Court of Appeals for the District of Columbia Circuit and for Associate Justice Harry A. Blackmun of the Supreme Court of the United States.


Michael A. Macchiaroli is an Associate Director, Office of Broker-Dealer Finances, Division of Trading and Markets, U.S. Securities and Exchange Commission, where he is responsible for the broker- dealer financial responsibility program, which deals with the capital record-keeping, reporting and customer protection Rules. Mr. Macchiaroli has been employed at the Commission since 1970 and in the Division of Trading and Markets since 1978.


Michele M. Anderson is an Associate Director in the Division of Corporation Finance at the U.S. Securities and Exchange Commission.  As a member of the Division’s senior leadership team, Ms. Anderson is responsible for oversight of the disclosure review program for public companies and the work of the Division’s Specialized Policy and Disclosure offices, including Mergers and Acquisitions, International Corporate Finance, and Structured Finance.  She also oversees rulemaking initiatives and interpretive positions taken by the Division on domestic and cross-border M&A transactions, the federal proxy rules, and the registration, disclosure, and reporting requirements that apply to foreign issuers and issuers of asset-backed securities. 

Ms. Anderson has been a member of the staff at the SEC since 1998.  From 2008 to 2015, she served as Chief of the Division of Corporation Finance’s Office of Mergers and Acquisitions, overseeing the regulation of M&A transactions as well as the interpretive functions of the SEC as they relate to tender offers, mergers, contested and other non-routine proxy solicitations, going private transactions, reorganizations, debt restructurings and beneficial ownership reporting.  Prior to that, she served in a variety of positions in the Division, including branch chief of the group responsible for the review of the federal securities law filings made by telecommunication companies and service providers. 

In addition to her duties at the SEC, Ms. Anderson served as an Adjunct Professor of Law at the Georgetown University Law Center, where she taught the course “Takeovers, Mergers and Acquisitions.”  She received her B.A., magna cum laudePhi Beta Kappa, from the University of Colorado at Boulder and her Juris Doctorate from the University of Colorado Law School.


Pamela A. Gibbs serves as the Chief Diversity Officer for the U.S. Securities and Exchange Commission (SEC).  As head of the agency’s Office of Minority and Women Inclusion, Ms. Gibbs provides strategic and operational leadership to ensure the SEC’s diversity and inclusion strategy advances the goals of the agency’s core mission—protecting investors.  Under the direction of Ms. Gibbs, the SEC has developed strategic partnerships and alliances with diverse educational institutions, professional organizations, and community-based organizations, increased the utilization of minority-owned and women-owned businesses in the agency’s supply chain, and developed diversity standards for the more than 25,000 entities regulated by the SEC.  In addition, the SEC has initiated an enhanced national outreach program to attract a diverse talent pool for current and future employment opportunities.

Prior to joining the SEC, Ms. Gibbs served as the Director for the Office of Diversity and Inclusion at the U.S. Commodity Futures Trading Commission.  Ms. Gibbs began her career at the U.S. Department of Labor, Office of the Solicitor, as a trial attorney in the Civil Rights Division, enforcing employment opportunity laws administered by the Office of Federal Contract Compliance Programs.  Later she represented the agency on internal employment discrimination and labor relations matters primarily before the US Equal Employment Opportunity Commission, the Merit System Protections Board, and the Federal Labor Relations Authority.  Ms. Gibbs is a graduate of the University of Virginia and the Georgetown University Law Center.


Parisa Haghshenas is a Branch Chief in the Chief Counsel’s Office in the Division of Investment Management at the U.S. Securities and Exchange Commission.  Since joining the Commission in 2011, Mrs. Haghshenas has held a variety of positions focused on investment company and investment adviser regulatory issues, including serving as Attorney-Adviser in IM’s Investment Adviser Rulemaking Office and as Senior Counsel in IM’s Director’s Office.  

Prior to joining the SEC, Mrs. Haghshenas was an Associate Director-Compliance Officer at UBS Alternative Investments in New York City. She earned her J.D. from the University of North Carolina Law School and her undergraduate degree from the University of North Carolina at Chapel Hill. 


Paul Munter is Acting Chief Accountant of the Office of the Chief Accountant (OCA) at the U.S. Securities and Exchange Commission. He joined OCA as Deputy Chief Accountant for International Activities in 2019. Prior to joining the SEC staff he served as professor of accounting at University of Miami and a national office partner for KPMG. He earned his PhD in accounting from the University of Colorado, Boulder and his B.S. and M.S. in accounting from Fresno State University. He is a CPA in Colorado, New York, and Florida. 


Rick Fleming was appointed in February, 2014, to be the first director of the Office of the Investor Advocate at the U.S. Securities and Exchange Commission. As the Investor Advocate, Mr. Fleming has built an office charged with the responsibility for assisting retail investors in their interactions with the Commission and self-regulatory organizations (SROs), analyzing the impact on investors of proposed rules and regulations, identifying problems that investors have with financial service providers and investment products, and proposing legislative or regulatory changes to promote the interests of investors.

Prior to joining the Commission, Mr. Fleming spent fifteen years as a state securities regulator, including more than a decade as General Counsel for the Office of the Kansas Securities Commissioner. He represented the state in a broad range of disciplinary proceedings against broker-dealers and investment advisers, prosecuted criminal cases involving securities fraud, and drafted legislation and regulations to protect investors. He moved to Washington, D.C. in 2011 – along with his wife and six children – to become the Deputy General Counsel for the North American Securities Administrators Association (NASAA), where he provided assistance to state securities regulators.

Mr. Fleming was raised in LeRoy, Kansas, graduated summa cum laude from Washburn University with a dual major in finance and economics, and holds a law degree from Wake Forest University. His published works include “100 Years of Securities Law: Examining a Foundation Laid in the Kansas Blue Sky,” 50 Washburn L.J. 583 (2011), in which he traces the origin of the term “blue sky law.”


Sanjay Wadhwa has served as the Deputy Director of Enforcement since August 2021. Previously, he was the Senior Associate Director for Enforcement in the SEC’s New York Regional Office, a position he held from January 2013 until August 2021. Prior to then, Sanjay served in additional roles in the Enforcement Division, including Associate Director, Assistant Director, and Branch Chief in New York, as well as the Deputy Chief of the Market Abuse Unit. Sanjay joined the SEC as a staff attorney in July 2003.

Prior to joining the SEC, Sanjay was in private practice in New York for 7 years, first at the law firm of Cahill Gordon & Reindel, and then at Skadden, Arps, Slate, Meagher & Flom.

Sanjay has a B.B.A. from Florida Atlantic University, a J.D. from South Texas College of Law Houston, and an LL.M. in Taxation from New York University School of Law.


Sarah G. ten Siethoff serves as the Acting Director, Division of Investment Management, and Associate Director, Rulemaking Office, Division of Investment Management, U.S. Securities and Exchange Commission (SEC). 

As Acting Director, Sarah ten Siethoff leads the regulation of the asset management industry at the SEC. As Associate Director, she also leads the development of policy and rulemaking relating to investment advisers and investment companies.   

Prior to joining the SEC, Ms. ten Siethoff was an associate with Cleary Gottlieb Steen & Hamilton LLP in their New York and Washington, DC offices.  

Ms. ten Siethoff received her J.D. from Yale Law School, her M.A. in International Relations from Yale University, and her B.A. from the University of Virginia.


Tamara M. Brightwell serves as Deputy Director of the Disclosure Review Program in the Division of Corporation Finance at the U.S. Securities and Exchange Commission.  Ms. Brightwell oversees the work of the Division’s reviews of transactional filings and periodic and current reports in furtherance of the Division’s mission-critical work to protect investors and promote capital formation.  Prior to this role, Ms. Brightwell served as Deputy Chief Counsel in the Division’s Office of Chief Counsel, where she led staff in providing interpretive guidance on the application of the federal securities laws, including public company disclosure requirements and securities offering rules.  From 2013 to 2017, she served as Senior Advisor to SEC Chair Mary Jo White.  Ms. Brightwell also has held a variety of positions in the Division of Corporation Finance, including Senior Advisor to the Director and Special Counsel in the Office of Chief Counsel.  She originally joined the Division as an attorney in the Disclosure Review Program.

Ms. Brightwell received a B.S. in financial management, cum laude, from Clemson University, and a J.D. from the University of Notre Dame Law School.

 


Tim Husson is the Associate Director of the Analytics Office in the Division of Investment Management.  In this role, he oversees the data analysis and industry monitoring activities in the Division and provides guidance on complex financial and quantitative topics. 

Before joining the SEC, he was a Senior Financial Economist at SLCG, an economic consulting firm in Fairfax, Virginia, where he provided quantitative research and analysis in support of expert testimony and regulatory proceedings.  He has coauthored numerous research papers on exotic financial products, financial markets, and complex securities, available online from SSRN.

Dr. Husson holds a BA and Ph.D in Computational Neuroscience from the University of Chicago.  His scientific work focused on the development and applications of a novel neural imaging technique.


Tracey Hardin is an Assistant General Counsel in the Office of the General Counsel at the Securities and Exchange Commission.  Tracey has served as a member of the Office’s Appellate Group since June 2005.  She joined the Commission’s staff from the Department of Justice, where she had been a trial lawyer in the Civil Division in Washington, DC.     

Tracey graduated from Vanderbilt University School of Law in 1998, where she was an editor of the Vanderbilt Law Review.  After graduating, she clerked for Judge J. Owen Forrester of the District Court for the Northern District of Georgia and Judge Frank M. Hull of the United States Court of Appeals for the Eleventh Circuit. 


Andrea is an Assistant Director in the Disclosure Review and Accounting Office (DRAO) of the SEC’s Division of Investment Management.  Her work focuses on issues that arise in connection with investment company registration and proxy statements, and includes issues relating to insurance products.  Andrea joined the SEC in 2011 and, prior to joining DRAO, was a Branch Chief in the Division’s Chief Counsel’s Office as well as Senior Counsel in the Division’s Rulemaking Office.  

Andrea received a Bachelor of Arts degree from the University of Dayton (cum laude), and a Juris Doctor degree from the Catholic University of America School of Law (magna cum laude).  Prior to joining the SEC, Andrea worked for seven years in the investment management practice group at K&L Gates LLP.


Bridget Fitzpatrick was named the Enforcement Division’s Chief Litigation Counsel in September 2017 after serving as Co Acting Chief Litigation Counsel since November 2016.  She was previously a Supervisory Trial Counsel and an Assistant Chief Litigation Counsel in the Division of Enforcement.  Ms. Fitzpatrick was awarded the Chairman’s Award for Excellence and George Washington University’s Arthur S. Flemming Award for Legal Achievement for her trial work at the Commission. 

Before serving at the Commission, Ms. Fitzpatrick was an Assistant U.S. Attorney in Washington, D.C., where she worked in the domestic violence, appellate, and fraud and public corruption sections of the office.  As a prosecutor, Ms. Fitzpatrick personally tried more than thirty cases to verdict. 

Ms. Fitzpatrick received a bachelor’s degree from Cornell University and law degree from Georgetown University Law Center, both with honors.


Dr. Carmen Taveras is an Assistant Director in the Division of Economic and Risk Analysis (DERA) at the U.S. Securities and Exchange Commission (SEC).

She applies economic theory, analytical techniques, and statistical methods to assist the Commission in the investigation of potential securities law violations. She supervises a staff of financial economists that also apply economic analysis to SEC Enforcement matters.

She has worked at the SEC for more than seven years. Prior to joining the SEC, she worked in private sector economic consulting.

She earned a Ph.D. in Economics from the Massachusetts Institute of Technology.


Gary Gensler was nominated by President Joseph R. Biden to Chair the U.S. Securities and Exchange Commission on February 3, 2021, confirmed by the U.S. Senate on April 14, 2021, and sworn into office on April 17, 2021.

Before joining the SEC, Gensler was professor of the Practice of Global Economics and Management at the MIT Sloan School of Management, co-director of MIT’s Fintech@CSAIL, and senior advisor to the MIT Media Lab Digital Currency Initiative. From 2017-2019, he served as chair of the Maryland Financial Consumer Protection Commission.

Gensler was formerly chair of the U.S. Commodity Futures Trading Commission, leading the Obama Administration’s reform of the $400 trillion swaps market. He also was senior advisor to U.S. Senator Paul Sarbanes in writing the Sarbanes-Oxley Act (2002), and was undersecretary of the Treasury for Domestic Finance and assistant secretary of the Treasury from 1997-2001.

In recognition for his service, he was awarded the Alexander Hamilton Award, the U.S. Treasury’s highest honor. He is a recipient of the 2014 Frankel Fiduciary Prize.

Prior to his public service, Gensler worked at Goldman Sachs, where he became a partner in the Mergers & Acquisition department, headed the firm’s Media Group, led fixed income & currency trading in Asia, and was co-head of Finance, responsible for the firm's worldwide Controllers and Treasury efforts.

A native of Baltimore, Md., Gensler earned his undergraduate degree in economics in 1978 and his MBA from The Wharton School, University of Pennsylvania, in 1979. He has three daughters.


Gurbir S. Grewal is the Director of the Division of Enforcement. He leads and oversees the approximately 1,400-person Division, which conducts investigations into possible violations of the federal securities laws and prosecutes the Commission’s civil suits in federal court as well as its in-house administrative proceedings. Immediately before joining the Commission, Gurbir was the Attorney General for the State of New Jersey. Prior to that, he served as the Bergen County Prosecutor, the chief law enforcement officer for New Jersey’s most populous county. Earlier in his career, Gurbir served as an Assistant United States Attorney for the District of New Jersey, where he was Chief of the Economic Crimes Unit, and an Assistant United States Attorney for the Eastern District of New York, where he was assigned to the Business and Securities Fraud Unit. He was also an attorney in private practice. He holds a J.D. from the College of William & Mary, Marshall-Wythe School of Law, and a B.S. in Foreign Service from the Georgetown University School of Foreign Service.


Kristina Littman is the Chief of the Division of Enforcement’s Cyber Unit, a national, specialized unit that focuses on protecting investors and markets from cyber-related misconduct. Ms. Littman joined the SEC’s Division of Enforcement in 2010 in the Philadelphia office.  She has held senior attorney positions in SEC Chairman Jay Clayton’s office, the Trial Unit, and the Market Abuse Unit. Prior to joining the SEC, Ms. Littman practiced law at Drinker Biddle & Reath LLP, specializing in white collar and securities litigation. Ms. Littman earned her J.D. and M.B.A. from Rutgers University School of Law – Camden and an undergraduate degree from Florida State University.


Martha was named as the U.S. Securities and Exchange Commission’s first director of the Office of the Advocate for Small Business Capital Formation in December 2018, leading the new office created by the SEC Small Business Advocate Act of 2016.  As the Advocate for Small Business, Martha oversees the Office dedicated to advancing the interests of small businesses and their investors at the SEC and in the capital markets.  The Office is responsible for advocating for small businesses and their investors by conducting outreach to solicit views on relevant capital formation issues, providing assistance to resolve significant problems, analyzing the potential small business impact of proposed regulations and rules, and recommending changes to mitigate capital formation issues and promote the interests of small businesses and their investors.

Prior to joining the SEC, Martha was a partner at the law firm Balch & Bingham LLP in Birmingham, Alabama, where she represented companies and investors across a spectrum of corporate transactions.

Martha holds bachelor’s degrees in Cognitive Neuroscience and Communications Studies from Vanderbilt University and a juris doctor degree from Georgetown University Law Center.


Ms. Olsen is the Director of the SEC’s Office of Municipal Securities (OMS). Previously, she served in the roles of Acting Director, Deputy Director and Chief Counsel for the office.  OMS is responsible for administering SEC rules pertaining to municipal securities brokers and dealers, municipal advisors, investors in municipal securities, and municipal issuers.  OMS advises the Commission on policy matters relating to the municipal securities market and is responsible for policy development, coordination and implementation of Commission initiatives to improve the municipal securities market, as well as providing technical assistance to other SEC offices on wide array of municipal securities matters.  OMS coordinates with the Municipal Securities Rulemaking Board (MSRB) on rulemaking and enforcement actions.  OMS also acts as the Commission’s liaison to the MSRB, Financial Industry Regulatory Authority (FINRA), the Internal Revenue Service, a variety of investor and industry groups, and regulators on municipal securities issues.

Prior to joining the SEC, Ms. Olsen worked as a public finance attorney at the law firm of Ballard Spahr, LLP for over a decade where she served as underwriter’s counsel, bond counsel, lender’s counsel and borrower’s counsel on a wide variety of public debt offerings and private placements.  Ms. Olsen has a bachelor’s degree in Political Science from Boston College, a J.D. from the Georgetown University Law Center and an LL.M in International Business Law from the Vrije Universiteit Amsterdam, The Netherlands.

 


Special Trial Counsel, Office of the General Counsel

Ms. Shimp joined the SEC in October 2000 as an attorney in the Office of the General Counsel, representing the SEC in civil and administrative litigation at the trial and appellate levels.  Her work has included defending the SEC’s $22 million judgment against the former CEO and Chairman of Gemstar-TV Guide International, Inc. (SEC v. Yuen, 9th Cir. Case No. 06-55857); and defending the SEC against allegations that one of its investigations was tainted by an alleged breach of the attorney-client privilege (SEC v. Finazzo, 2nd Cir. Case Nos. 08-1733 and 08-3995).

Since 2006, Ms. Shimp has also focused on the SEC’s investigation of attorneys who appear or practice before it.  In December 2012, Ms. Shimp was promoted to her current position, where she works closely with the Assistant General Counsel for Litigation and Professional Misconduct in investigating possible attorney misconduct and bringing administrative proceedings against attorneys pursuant to SEC Rule of Practice 102(e).  She is also actively involved in examining whistleblower issues that involve attorneys.

Before joining the SEC, Ms. Shimp was an associate with two tax law boutiques in Washington, D.C.  She is a graduate of Harvard Law School.


Tom has worked in the SEC’s Office of the General Counsel since 1998, and has been an Assistant General Counsel since 2006.    He helped draft the Part 205 attorney conduct rules, and is involved in investigating possible attorney misconduct and bringing administrative proceedings against attorneys pursuant to SEC Rule of Practice 102(e).   Tom was also involved in drafting the anti-retaliation and other provisions of the Commission’s rules implementing its Dodd-Frank whistleblower program, and has worked on amicus briefs on whistleblower issues, including the United States’ brief in Lawson v. FMR, 571 U.S. 429 (2014), and Digital Realty Trust v. Somers, 138 S.Ct. 767 (2019).

He is a graduate of Harvard University and of the University of Virginia School of Law. 


David H. Saltiel is the Acting Director of the Division of Trading and Markets at the United States Securities and Exchange Commission (SEC). David also leads the Office of Analytics and Research (OAR) in Trading and Markets which is responsible for leading the quantitative and qualitative research and analysis related to the SEC’s policies on markets and market structure. David holds an M.Sc. from the University of Oxford and a B.A. from Williams College.


Keith Cassidy is an Associate Director in the Securities and Exchange Commission’s (SEC) Division of Examinations and the head of Technology Controls Program (TCP).  In this role, Mr. Cassidy oversees a staff of technologists and attorneys responsible for conducting examinations of entities subject to Regulation Systems Compliance and Integrity (SCI), and providing technical assistance to the other national exam programs on technology related issues.  His staff also administers the SEC’s CyberWatch program, which is the primary intake point for information filed under Regulation SCI and the operations center for incident response.

Before joining Examinations, Mr. Cassidy was the Director of the SEC’s Office of Legislative and Intergovernmental Affairs, where he worked directly for three separate Chairs.  Before coming to the Commission in 2010, Mr. Cassidy was Chief of Staff and Counsel at the Department of Justice’s Office of Legislative Affairs.  Prior to his time at the Department of Justice, Mr. Cassidy worked in the United States Senate as a legislative assistant.

Mr. Cassidy received his law degree from the George Washington University Law School and his LL.M. in Securities and Financial Regulation from Georgetown Law Center.  He holds a bachelor’s degree in History from the University of Virginia and is a Certified Information Systems Security Professional (CISSP).

Mr. Cassidy is also an Infantry Officer in the U.S. Marine Corps Reserve, where he serves as the Training Officer for 4th Reconnaissance Battalion, and has earned numerous awards.  


Philip J. Holmes is a special trial counsel in the Litigation and Administrative Practice Group of the SEC”s Office of the General Counsel. Mr. Holmes investigates and prosecutes attorney misconduct cases under SEC Rule of Practice 102(e) and Part 205 of the SEC”S Part 205 Standards of Professional Conduct for Attorneys Appearing and Practicing before the commission in the representation of an issuer. Mr. Holmes has an A.B in History from Dartmouth College and a J.D from Cornell Law School.  


Rachel McKenzie is a Senior Litigation Counsel in the Office of the General Counsel at the Securities and Exchange Commission. Rachel has served as a member of the Office’s Appellate Group since December 2016. Prior to joining the Commission, she was an Assistant General Counsel at Verizon Communications Inc., where she focused on regulatory affairs.

Rachel graduated from the University of Virginia School of Law (2005), where she was Order of the Coif and a member of the Virginia Law Review. She has practiced in the appellate litigation groups at Baker Botts LLP and Orrick, Herrington, and Sutcliffe LLP, and clerked for Judge Jerry E. Smith of the United States Court of Appeals for the Fifth Circuit.


Daniel S. Kahl is Deputy Director and Chief Counsel for the Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission.  Formerly, Mr. Kahl was Assistant Director in charge of the Investment Adviser Regulation Office in the Division of Investment Management at the SEC.  Prior to joining the Commission in 2001, Dan worked for the Investment Adviser Association, FINRA, and the North American Securities Administrators Association.  He received his B.S. from Penn State University, J.D. from Southern Methodist University, and LL.M. (Securities) from Georgetown University


Giulio is a Senior Financial Economist at the Securities and Exchange Commission, currently serving as the SEC representative to the Financial Stability Board (FSB) Analytical Group on Vulnerabilities (AGV). In this capacity, Giulio has participated to several initiatives dedicated to designing and implementing the FSB surveillance framework and assessing risks to the global financial system. In the past, his work at the SEC has involved developing analytical tools to identify risks or securities law violations and to assist the Commission in efficiently allocating resources by prioritizing inspections on registrants with higher risk of deficiencies and fraud. Giulio has worked on risk assessment initiatives in the Broker-Dealers and Investment Companies space and served as point of contact of DERA’s Office of Risk Assessment with Enforcement’s Complex Financial Instrument unit. Giulio holds a Ph.D. in Economics; he has published articles in the Journal of Financial Economics and other peer-reviewed journals. He was awarded the Graham-Dodd Award of excellence in research and financial writing for best paper in the Financial Analyst Journal in 2016. 


Jonathan Hecht is Acting Co-Chief Counsel and Assistant Chief Counsel in the SEC’s Division of Enforcement.  He was previously Senior Counsel to the Co-Directors of Enforcement and a Staff Attorney in the Office of Chief Counsel. Before joining the SEC in 2012, Mr. Hecht was an Associate and Counsel in WilmerHale’s Securities Department. Prior to that, he was an associate in the Litigation Department in the New York office of Shearman & Sterling. He earned his JD, magna cum laude, from American University Washington College of Law where he was the Editor-in-Chief of the Law Review and his undergraduate degree with Honors and Distinction from the Pennsylvania State University. 


Peter Dixon is a Financial Economist in the SEC’s Division of Economic and Risk Analysis where he works in the Office of Markets on market structure issues.  Peter has worked at the SEC for three years.  Prior to his time at the SEC Peter was a Ph.D. student at the University of Tennessee where he received his doctorate. He has also worked as a Financial Analyst in the healthcare industry.  Peter’s published research has appeared in the Journal of Financial Economics, The Review of Asset Pricing Studies, and he has a paper forthcoming in the Journal of Financial and Quantitative Analysis. In addition to his Ph.D. Peter holds a master’s degree in Econometrics from the University of Utah and a bachelor’s degree in Financial Economics from Brigham Young University-Idaho. 


Renee Jones in the Director of Corporation Finance at the U.S. Securities and Exchange Commission.  Prior to her appointment on June 21, 2021, Jones served as Professor of Law and Associate Dean for Academic Affairs at Boston College Law School, where she taught courses in corporations, securities regulation, startup company governance, and financial regulation. Previously, she represented private and public companies on corporate and securities matters at Hill & Barlow law firm. Jones is a member of the American Law Institute and has served as the Co-Chair of the Securities Law Committee of the Boston Bar Association. She received an undergraduate degree from Princeton University and a J.D. from Harvard University.


Since 1994, Mr. McGowan has worked in the Office of Broker-Dealer Finances at the Commission. Areas of responsibility include the broker-dealer net capital rule, the customer protection rule, and recordkeeping and reporting requirements. 

Prior to working at the Commission, Mr. McGowan worked as an attorney with McGuire, Woods, Battle & Boothe.  

EDUCATION

University of Virginia School of Law
J.D. 1987

Virginia Polytechnic Institute and State University
B.S. Economics 1984
Magna Cum Laude