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Karen Martinez

Karen Martinez

US Securities and Exchange Commission
Regional Director, Salt Lake City Regional Office
Salt Lake City, UT, USA

Karen L. Martinez

Ms. Martinez has served as the Regional of the Salt Lake Regional Office of the United States Securities and Exchange Commission since October 2013.  Before becoming Regional Director, Ms. Martinez was Trial Counsel for the Commission for seven years and Assistant Director for three years.  Prior to joining the Commission staff, Ms. Martinez was in private practice with the firm Bendinger Crockett Peterson & Casey where she specialized in representing accounting firms in securities related litigation.

As Regional Director, Ms. Martinez supervises the Office of Compliance, Inspection and Examination’s Risk Analysis Exam Team.  That Team was formed to develop a more consistent risk based approach to the selection of broker-dealer exams through the use of data analytics.  The Team applies a systematic and robust data collection process to examine large clearing firms and strategically important firms.  Through the use of data analytics, the Team has doubled OCIE’s examination footprint in core risk areas. 

Ms. Martinez received her Bachelor of Science degree in Mathematics from the University of Idaho in 1986 and a Master of Science degree in Mathematics from the University of Utah in 1992.   Ms. Martinez is an Order of the Coif graduate from the University of Utah College of Law where she received her Juris Doctorate in 1997.


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