FacultyFaculty/Author Profile

Eric Garvey

U.S. Securities and Exchange Commission
Assistant Director, Office of Broker-Dealer and Exchange Program (BDX), Office of Compliance Inspections and Examinations
Washington, DC, USA


Eric Garvey is an Assistant Director in the SEC’s Office of Compliance Inspections and Examinations, and has been with the Commission since 2003.  In his current role, Mr. Garvey supervises staff in the Office of Clearance and Settlement that coordinates the SEC’s Regional Offices implementation of the National Examination Program’s transfer agent examinations.  Prior to joining the SEC, Mr. Garvey was an attorney in private practice in DC specializing in securities and financial services.  Mr. Garvey graduated from the Columbus School of Law at The Catholic University of America.
Eric Garvey is associated with the following items:
Live Seminar  Live Seminar The SEC Speaks in 2019, Monday, April 08, 2019, Washington, DC
Live Webcast  Live Webcast The SEC Speaks in 2019, Monday, April 08, 2019, Washington, DC
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