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July 02, 2015 3:20 PM 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, NE

Washington, DC 20549

United States

Founded in 1934

Phone:

202-942-8088

Fax:

202-942-9524

Key Executives for U.S. Securities and Exchange Commission

Chief Financial Officer
Age: 42
Chief Operating Officer
Age: 60
Chief Compliance & Ethics Officer, Chief Counsel and Associate Director
Deputy Chief Accountant
Age: 54
Head of New York Office and Director of New York Regional Office
Compensation as of Fiscal Year 2015.

U.S. Securities and Exchange Commission Key Developments

The Securities and Exchange Commission Announces Executive Changes

The Securities and Exchange Commission appointed John C. Roeser as Associate Director and deputy head of the Office of Market Supervision in its Division of Trading and Markets. Mr. Roeser will assume his new role immediately. Mr. Roeser replaces Heather Seidel who was named in February as Chief Counsel for the Division of Trading and Markets. The divisions Office of Market Supervision oversees U.S. securities exchanges, alternative trading systems and self-regulatory organizations, and addresses issues involving market participants, products, and market structure. He began his SEC career in 1998 as a staff attorney in the office and was later promoted to special counsel and senior special counsel. Mr. Roeser has been an Assistant Director in the Office of Market Supervision since 2005 and played a key role in market structure and other regulatory initiatives. He began his SEC career in 1998 as a staff attorney in the office and was later promoted to special counsel and senior special counsel.

State Street Corp. May Face Securities and Exchange Commission Lawsuit

State Street Corp. announced that federal securities regulators may bring a civil enforcement action against company over its use of consultants and lobbyists to win pension business during a period that ended in 2011. The Securities and Exchange Commission disclosed to State Street that the agency will probably allege that the company violated securities laws. The company said the investigation is focused on State Street's dealings with public pensions in two states. State Street said the probe included, in at least one instance, political contributions by one of its consultants during and after a public bidding process. State Street had disclosed in November that the SEC was investigating its solicitation of public retirement plans in Ohio. The SEC investigation is the latest in a series of regulatory matters that have dogged State Street.

U.S. Securities and Exchange Commission Presents at Super Return U.S.2015, Jun-17-2015 12:00 PM

U.S. Securities and Exchange Commission Presents at Super Return U.S.2015, Jun-17-2015 12:00 PM. Venue: Renaissance Boston Waterfront Hotel, Boston, Massachusetts, United States. Speakers: Anthony Kelly, Assistant Director, Division of Enforcement, Asset Management Unit, Igor Rozenblit, Head of Private Funds Unit.

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