John Polise

U.S. Securities and Exchange Commission

Associate Director, Office of Market Oversight, Office of Compliance and Inspections

Washington, DC, USA

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John Polise is the Associate Director, Market Oversight at the Securities and Exchange Commission. Mr. Polise oversees the inspection of all domestic equity and options exchanges, the operation of FINRA, the MSRB and SIPIC. At the SEC Mr. Polise has served as an Assistant Director in the Division of Enforcement, the Division of Trading and Markets, and the Office of Compliance Inspections and Examinations. Mr. Polise was also Counsel to the Chairman of the CFTC and Counsel to the Director, Division of Enforcement at the CFTC. He also held positions at FINRA in both Enforcement and Member Regulation. He began his career as an Associate at Cahill Gordon & Reindel in New York and clerked for the Honorable Stanley Sporkin, US District Court for the District of Columbia. He graduated from the University of Pennsylvania, magna cum laude in 1985 and is a 1988 graduate of New York University School of Law.

John Polise is associated with the following items:
Audio CD	The SEC Speaks in 2012 , Saturday, March 24, 2012 , Washington, DC
DVD Video	The SEC Speaks in 2012 , Saturday, April 07, 2012 , Washington, DC
Web Segment	Compliance Inspections and Examination - The SEC Speaks in 2013 , Monday, February 25, 2013
MP3 Audio	The SEC Speaks in 2013: Compliance Inspections and Examination - Compliance Inspections and Examination , Thursday, February 28, 2013
MP4 - Mobile Video Seg	The SEC Speaks in 2013: Compliance Inspections and Examination - Compliance Inspections and Examination , Thursday, February 28, 2013
On-Demand Web Programs	The SEC Speaks in 2013 , Saturday, March 09, 2013 , Washington, DC
Live Seminar	The SEC Speaks in 2013 , Friday, February 22, 2013 , Washington, DC

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John Polise

U.S. Securities and Exchange Commission

Associate Director, Office of Market Oversight, Office of Compliance and Inspections

Washington, DC, USA


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