FacultyFaculty/Author Profile

Joanne C. Rutkowski

U.S. Securities and Exchange Commission
Assistant Chief Counsel, Division of Trading and Markets
Washington, DC, USA


JOANNE RUTKOWSKI is Senior Special Counsel in the Office of Chief Counsel of the Division of Trading and Markets (formerly the Division of Market Regulation) at the U.S. Securities and Exchange Commission.  In this capacity, Ms. Rutkowski works on public policy and regulatory issues related to broker-dealers.  She also has worked extensively on issues related to the implementation of business conduct standards for security-based swap dealers and major security-based swap participants under Title VII of Dodd-Frank, as well as crowdfunding initiatives under the JOBS Act.  Prior to rejoining the Commission, she worked in both the public and private sectors, most recently as a partner in the Washington, D.C. office of Baker Botts LLP.  Ms. Rutkowski received her J.D. from Harvard University, and her B.S. in Mathematics from Albright College.
Joanne C. Rutkowski is associated with the following items:
Web Segment  Web Segment Who is a Broker-Dealer? How do Broker-Dealers Register? The Different Types of Broker-Dealers - Fundamentals of Broker-Dealer Regulation 2017, Tuesday, July 18, 2017
MP3 Audio  MP3 Audio Who is a Broker-Dealer? How do Broker-Dealers Register? The Different Types of Broker-Dealers - Who is a Broker-Dealer? How do Broker-Dealers Register? The Different Types of Broker-Dealers, Tuesday, July 18, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Who is a Broker-Dealer? How do Broker-Dealers Register? The Different Types of Broker-Dealers - Who is a Broker-Dealer? How do Broker-Dealers Register? The Different Types of Broker-Dealers, Tuesday, July 18, 2017
On-Demand Web Programs  On-Demand Web Programs Fundamentals of Broker-Dealer Regulation 2017, Tuesday, July 25, 2017, New York, NY
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