FacultyFaculty/Author Profile
John S. Polise

John S. Polise

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


John Polise is the Associate Director, Broker-Dealer and Exchange (BDX) group in the SEC’s Office of Compliance Inspection and Examinations Market Oversight. John oversees a national staff of examiners which inspect registered broker-dealers, transfer agents, national securities exchanges, the MSRB and SIPIC. Previously, he was head of OCIE’s Market Oversight group. Mr. Polise has served as an Assistant Director in the SEC’s 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. 

John 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. He has been an adjunct professor in Securities Law at Georgetown University School of Law and the Antonin Scalia School of Law. Mr. Polise recently authored an article on equity market structure titled, A Bridge too Far: A Critical Analysis of the Securities And Exchange Commission's Approach to Equity Market Regulation, 11 Brook. J. Corp. Fin. & Com. L. 285 (2017).
John S. Polise 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
Live Seminar  Live Seminar The SEC Speaks in 2019, Thursday, February 21, 2019, Washington, DC
Live Webcast  Live Webcast The SEC Speaks in 2019, Thursday, February 21, 2019, Washington, DC
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