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August 02, 2015 8:53 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, 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: 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 announced that Daniel M. Hawke, chief of the Division of Enforcement's Market Abuse Unit and former Director of the Philadelphia Regional Office, is leaving the agency after 16 years of service. He will step down in August to return to the private sector. Mr. Hawke has headed the Market Abuse Unit since its inception in January 2010. Deputy Unit Chiefs Robert Cohen and Joseph Sansone will serve as co-acting Unit Chiefs following Mr. Hawke's departure.

The Securities and Exchange Commission Announces the Promotion of Michele Anderson to the Position of Associate Director in the Agency's Division of Corporation Finance

The Securities and Exchange Commission announced the promotion of Michele Anderson to the position of Associate Director in the agency's Division of Corporation Finance. She begins her new role later this month. Ms. Anderson has served as Chief of the divisions Office of Mergers and Acquisitions since 2008. In her new role as Associate Director, Ms. Anderson will oversee the work of the divisions Office of Mergers and Acquisitions and its Office of International Corporate Finance. She also will be responsible for overseeing rulemaking initiatives and no-action, interpretive, and exemptive positions taken by the division on domestic and cross-border mergers and acquisitions transactions, multinational offerings, and offerings by foreign issuers in the United States.

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.

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