FacultyFaculty/Author Profile
C. Annette Kelton

C. Annette Kelton

Goldman, Sachs & Co. LLC
Managing Director - Associate General Counsel
New York, NY, USA


Annette is an associate general counsel in the Legal Department and is head of the department’s Equities Sales and Trading Coverage Group. She advises Goldman Sachs and its affiliated US broker-dealers on a wide array of regulatory and legal issues relating to equities products and services. Annette joined Goldman Sachs in 1999 and was named managing director in 2005.

Prior to joining the firm, Annette worked with the US Securities and Exchange Commission (SEC), where she co-headed the Enforcement Program in the Philadelphia District Office. While at the SEC, she was responsible for oversight of a number of high profile federal securities law cases involving issues such as insider trading and market manipulation. During her tenure with the SEC, Annette also served as a legal assistant to SEC Commissioner Mary L. Schapiro. Prior to joining the SEC, Annette served as a federal clerk for the Honorable William F. Hall, Jr. in the US District Court for the Eastern District of Pennsylvania.

Annette earned a BS in Business Administration from Boston University School of Management in 1981 and a JD from Howard University School of Law in 1984.

C. Annette Kelton is associated with the following items:
Web Segment  Web Segment Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update - Broker/Dealer Regulation and Enforcement 2017, Tuesday, October 17, 2017
MP3 Audio  MP3 Audio Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update - Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update, Tuesday, October 17, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update - Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update, Tuesday, October 17, 2017
On-Demand Web Programs  On-Demand Web Programs Broker/Dealer Regulation and Enforcement 2017, Wednesday, October 18, 2017, New York, NY
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