FacultyFaculty/Author Profile
Michael Spratt

Michael Spratt

U.S. Securities and Exchange Commission
Assistant Director, Disclosure Review and Accounting Office, Division of Investment Management
Washington, DC, USA


Mr. Spratt is an Assistant Director in the Division of Investment Management at the Securities and Exchange Commission.  In this role, he manages a team responsible for reviewing investment company filings, including filings by exchange-traded funds, mutual funds, closed-end funds, business development companies, and unit investment trusts. 

Michael joined the Commission in 2010 in the Office of Investment Adviser Regulation, where he drafted rules and provided interpretative guidance on regulations applicable to investment advisers.  He also worked as counsel to Commissioners Elisse Walter and Kara Stein, where he provided advice on all aspects of asset management issues, including rulemakings, enforcement actions, and policy.

Before working at the Commission, Michael was an associate in the asset management groups at Willkie Farr & Gallagher, LLP and Dewey & LeBouef LLP.  Michael received his B.A. from Johns Hopkins University and J.D. from Georgetown University Law Center.

Michael Spratt is associated with the following items:
Web Segment  Web Segment Investment Management - SEC Speaks in 2017, Tuesday, February 28, 2017
MP3 Audio  MP3 Audio Investment Management - Investment Management, Tuesday, February 28, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Investment Management - Investment Management, 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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