FacultyFaculty/Author Profile

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, Market Oversight at the Securities and Exchange Commission. Mr. Polise oversees the inspection of all domestic equity and options exchanges, the operation of FINRA, the MSRB and SIPIC  .  Mr. Polise has held Senior Positions in the SEC’s Division of Enforcement, Division of Trading and Markets and the Office of Compliance Inspections and Examinations.
John S. Polise is associated with the following items:
Web Segment  Web Segment Compliance Inspections and Examinations - SEC Speaks in 2017, Tuesday, February 28, 2017
MP3 Audio  MP3 Audio Compliance Inspections and Examinations - Compliance Inspections and Examinations, Tuesday, February 28, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Compliance Inspections and Examinations - Compliance Inspections and Examinations, Tuesday, February 28, 2017
On-Demand Web Programs  On-Demand Web Programs SEC Speaks in 2017, Friday, March 03, 2017, Washington, DC
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