FacultyFaculty/Author Profile
Daniel R. Gregus

Daniel R. Gregus

U.S. Securities and Exchange Commission
Associate Director, Office of Clearance and Settlement, Office of Compliance Inspections and Examinations
Chicago, IL, USA


Daniel R. Gregus, Acting Associate Director, NEP Office of Clearance and Settlement Examinations; Acting Associate Director, NEP Transfer Agent Examinations; Associate Regional Director, CHRO Broker-Dealer Examinations.

Dan has been the Acting Associate Director over the NEP’s Clearance and Settlement and Transfer Agent Examination Programs since 2016. Those groups examine the controls and liquidity of clearing agencies critical to the nation’s markets and coordinate the examination of transfer agents by the SEC’s regional and home offices, respectively. He has also been the Associate Regional Director in charge of the Broker-Dealer Examination (BD Exam) Program in the Chicago Regional Office (CHRO) since 2015. He joined the CHRO BD Exam Program as an Assistant Regional Director in 2007, where he led some of the CHRO’s and Commissions’ largest and most complex fraud, sales practice and market structure exams of regulated entities. He has co-chaired and currently sponsors the National Exam Program’s (NEP) New and Structured Products Specialized Working Group, where he directed and now supports that group’s efforts to identify such products, educate the exam staff as to the issues associated with them, inform policy and undertake National Exam initiatives. He has represented the Commission internationally, providing technical assistance and training to securities regulators from developing markets regarding the foundations of effective compliance systems and examination programs. Prior to joining the CHRO’s BD Exam Program, Dan spent his first 14 years with the SEC as an attorney in the CHRO’s Enforcement Group. The last eight of those years he served as an Assistant Regional Director of Enforcement directing notable investigations and prosecutions of complex fraud and regulatory matters. Prior to joining the Commission, Dan spent seven years with private law firms in Chicago handling matters involving personal injury and commercial disputes, including commercial fraud claims. Dan received his B.S. in Business Administration (Highest Honors) and his J.D. (Magna Cum Laude) from the University of Illinois.
Daniel R. Gregus is associated with the following items:
Web Segment  Web Segment Compliance Inspections and Examinations - The SEC Speaks in 2018, Tuesday, February 27, 2018
MP3 Audio  MP3 Audio Compliance Inspections and Examinations - Compliance Inspections and Examinations, Tuesday, February 27, 2018
Transcripts  Transcripts Compliance Inspections and Examinations - Compliance Inspections and Examinations, Tuesday, February 27, 2018
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Compliance Inspections and Examinations - Compliance Inspections and Examinations, Tuesday, February 27, 2018
On-Demand Web Programs  On-Demand Web Programs The SEC Speaks in 2018, Saturday, March 03, 2018, Washington, DC
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