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, NE
Washington, DC 20549
Founded in 1934
Key Executives for U.S. Securities and Exchange Commission
Chief Compliance & Ethics Officer
Chief Counsel and Senior Policy Advisor for Office of International Affairs
Compensation as of Fiscal Year 2013.
U.S. Securities and Exchange Commission Key Developments
The Securities and Exchange Commission Names Gomez Abero as Chief of the Office of Small Business Policy in the Division of Corporation Finance
Dec 9 13
The Securities and Exchange Commission announced that it has named Sebastian Gomez Abero as chief of the Office of Small Business Policy. The appointment is effective immediately. Mr. Gomez previously was a special counsel in the Office of Chief Counsel of the SEC's Division of Corporation Finance, where he played a key role in drafting proposed rules to implement the crowd funding provisions of the Jumpstart the Business Startups (JOBS) Act. He succeeds Gerald J. Laporte, who retired in July after heading the Office of Small Business Policy for more than a decade. Mr. Gomez joined the SEC in August 2007 as a staff attorney in the division's Office of Health Care and Insurance and served as a special counsel in the division's Office of Financial Services from April 2011 to April 2012. He also assisted with the SEC's Life Settlements Task Force and with a team that provided technical assistance on derivatives as Congress drafted the Dodd-Frank Wall Street Reform and Consumer Protection Act. Before coming to the SEC, Mr. Gomez was an attorney at the law firm of Hogan & Hartson LLP.
Fifth Third Bancorp Agrees to Pay $6.5 Million to Settle the Securities and Exchange Commission Charges
Dec 4 13
The Securities and Exchange Commission charged Fifth Third Bancorp, the holding company of Cincinnati-based Fifth Third Bank and its former chief financial officer with improper accounting of commercial real estate loans in the midst of the financial crisis. Fifth Third agreed to pay $6.5 million to settle the SEC’s charges, and Daniel Poston agreed to pay a $100,000 penalty and be suspended from practicing as an accountant on behalf of any publicly traded company or other entity regulated by the SEC.
U.S. Securities and Exchange Commission Appoints Julie K. Lutz as Director of the Denver Regional Office
Nov 20 13
U.S. Securities and Exchange Commission announced the appointment of Julie K. Lutz as director of the Denver Regional Office, where she will oversee the SEC's enforcement and examinations in a seven-state region. Lutz has supervised the enforcement program in the Denver office as associate director since 2010. She has been serving as acting co-director of the office for the past few months. Lutz joined the SEC staff in 1977 and worked in San Francisco and Washington, D.C., before moving to the Denver office in 1996.
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