March 02, 2015 4:37 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 Executive Officer
Age: 75
Chief Financial Officer
Age: 41
Chief Operating Officer
Age: 59
Chief Compliance & Ethics Officer, Chief Counsel and Associate Director
Deputy Chief Accountant
Age: 53
Compensation as of Fiscal Year 2014.

U.S. Securities and Exchange Commission Key Developments

The Securities and Exchange Commission Appoints Pamela C. Dyson as Chief Information Officer

The Securities and Exchange Commission announced that Pamela C. Dyson has been appointed as Chief Information Officer (CIO) in charge of overseeing the agencys information technology functions. Ms. Dyson has served as Acting CIO since October 2014. She has held key positions in the Office of Information Technology (OIT) since she came to the Commission in 2010, including Deputy CIO.

U.S. Securities and Exchange Commission Names Heather Seidel as Chief Counsel in Its Division of Trading and Markets

The Securities and Exchange Commission announced that Heather Seidel has been named Chief Counsel for its Division of Trading and Markets. Ms. Seidel, an Associate Director in the divisions Office of Market Supervision, will begin her new role immediately. The divisions Office of Chief Counsel provides legal and policy advice to the Commission on matters affecting broker-dealers and securities markets.

Securities and Exchange Commission Announces Board Changes

The Securities and Exchange Commission announced that David Grim has been named as Acting Director of the Division of Investment Management. He replaces Norm Champ, the divisions former director, who left the SEC at the end of January. Dave has served with distinction for nearly 20 years in the Division of Investment Management.

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