FacultyFaculty/Author Profile
Alice Schulman

Alice Schulman

U.S. Securities and Exchange Commission
Assistant Director, IA/IC Exam Program
San Francisco, CA, USA


Alice L. Schulman is an Assistant Regional Director, Investment Adviser/Investment Company Regulation, in the San Francisco Regional Office of the United States Securities and Exchange Commission. She oversees staff implementing the SEC’s National Examination Program for investment companies and investment advisers in Northern California and the Pacific Northwest. After more than 20 years of securities and investment industry compliance and administration management experience at small and large firms, she joined the SEC in 2007 as an examiner and she was promoted to her current position in 2011.

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