Diversified Financial Services
Company Overview of U.S. Securities and Exchange Commission
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
Founded in 1934
Key Executives for U.S. Securities and Exchange Commission
Chief Compliance & Ethics Officer, Chief Counsel and Associate Director
Director of New York Regional Office
Compensation as of Fiscal Year 2017.
U.S. Securities and Exchange Commission Key Developments
Investment Management Director David W. Grim to Leave SEC
Aug 3 17
The Securities and Exchange Commission announced that David W. Grim, Director of the Division of Investment Management, will leave the agency next month after more than 20 years of public service. Mr. Grim, who joined the Division directly from law school and rose to become its leader, has left a legacy of regulatory policy reforms and legal guidance that have shaped the Division and the industry it regulates.
The Securities and Exchange Commission Announces Promotion of Donna Esau to Associate Regional Director for Examinations in the Agency's Atlanta Regional Office
Aug 2 17
The Securities and Exchange Commission announced the promotion of Donna Esau to Associate Regional Director for Examinations in the agency's Atlanta Regional Office. Ms. Esau will direct a staff of approximately 40 accountants, examiners, and attorneys responsible for the
examination of broker-dealers, investment companies, investment advisers, and transfer agents across five southeastern states (Alabama, Georgia, North Carolina, South Carolina, and Tennessee). She will assume her new post Aug. 6, 2017. Ms. Esau began her career at the SEC as an examiner in the Atlanta office's examination program in 1996. She has served as a senior program adviser in the National Examination Program and most recently as Acting Associate Regional Director in the Atlanta office.
Securities and Exchange Commission Names Jessica B. Magee Associate Regional Director for Enforcement in the SEC's Fort Worth Regional Office
Jul 27 17
The Securities and Exchange Commission announced that Jessica B. Magee has been named the Associate Regional Director for Enforcement in the SEC's Fort Worth Regional Office. Ms. Magee succeeds David L. Peavler, who left the agency in May. Ms. Magee joined the SEC as a Staff Attorney in the Enforcement Division in 2010, and she became Senior Trial Counsel in 2012. Ms. Magee was promoted to Assistant Regional Director in 2015, and she became Regional Trial Counsel in 2016. Before joining the SEC staff, Ms. Magee worked as a litigation associate for the law firm of Thompson & Knight in Dallas.
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