January 21, 2017 5:08 AM ET

Diversified Financial Services

Company Overview of U.S. Securities and Exchange Commission

Company Overview

U.S. Securities and Exchange Commission operates and oversees the securities markets of the United States. The company provides brokers, investment advisers, and ratings agencies inspection; financial integrity program; investment company and investment adviser filings review; and economic, financial, and legal analysis report services. Additionally, it issues, amends, and enforces federal securities laws. The company also offers regulation services focusing on securities, accounting, and auditing regulation of the private regulatory organization. Additionally, the company provides investor educational information services. U.S. Securities and Exchange Commission was founded in 1934 and is b...

100 F Street, NorthEast

Washington, DC 20549

United States

Founded in 1934

Phone:

202-942-8088

Key Executives for U.S. Securities and Exchange Commission

Chief Financial Officer
Age: 43
Chief Operating Officer
Age: 61
Chief Compliance & Ethics Officer, Chief Counsel and Associate Director
Deputy Chief Accountant
Age: 55
Director of New York Regional Office
Compensation as of Fiscal Year 2016.

U.S. Securities and Exchange Commission Key Developments

The Securities and Exchange Commission Appoints Jennifer A. Diamantis as Chief of the Enforcement Division’s Office of Market Intelligence

The Securities and Exchange Commission announced that Jennifer A. Diamantis has been named Chief of the Enforcement Division’s Office of Market Intelligence, which is responsible for the collection, analysis, and monitoring of the hundreds of thousands of tips, complaints, and referrals. Before arriving at the SEC in September 2016 to become Deputy Chief of the office, Ms. Diamantis held various positions in the private sector and at federal agencies, including the Consumer Financial Protection Bureau, Federal Deposit Insurance Corporation, and Commodity Futures Trading Commission.

General Counsel Anne K. Small to Leave SEC

The Securities and Exchange Commission announced that General Counsel Anne K. Small will leave the agency later this month.

Michael J. Osnato Plans to Leave Securities and Exchange Commission as Chief of the Enforcement Division’s Complex Financial Instruments Unit

The Securities and Exchange Commission announced that Michael J. Osnato Jr., Chief of the Enforcement Division’s Complex Financial Instruments Unit, is planning to leave the agency later this month. For the past three years, Mr. Osnato led the specialized unit of 45 attorneys and industry experts in offices across the country that investigate potential misconduct related to complex financial products and practices involving sophisticated market participants. Prior to his arrival at the SEC, Mr. Osnato worked at Shearman & Sterling LLP and later at Linklaters LLP in New York.

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Recent Private Companies Transactions

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No transactions available in the past 12 months.
 

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