FacultyFaculty/Author Profile

Sheldon L. Pollock

U.S. Securities and Exchange Commission
Assistant Director
New York, NY, USA


Sheldon L. Pollock is an Assistant Director for the Division of Enforcement in the U.S. Securities and Exchange Commission’s New York Regional Office.  Prior to becoming an Assistant Director in 2015, Mr. Pollock was a Senior Counsel in Enforcement’s Market Abuse Unit, during which time he also served as a Special Assistant United States Attorney in the United States Attorney’s Office for the District of Connecticut.  Before joining the SEC in 2010, he practiced law at Davis Polk & Wardwell LLP.  Mr. Pollock began his career as a law clerk for the Honorable Colleen Kollar-Kotelly on the United States District Court for the District of Columbia from 2001 to 2003.  Mr. Pollock received his JD from Harvard Law School in 2001, an M.Sc. in International Accounting and Finance from the London School of Economics in 1998, and a Bachelor of Science in Accountancy from Villanova University in 1997.
Sheldon L. Pollock is associated with the following items:
Web Segment  Web Segment Special Concerns for Regulated Entities - Enforcement 2017: Perspectives from Government Agencies, Tuesday, May 16, 2017
The Government’s Perspective: Duties of In-House Counsel and Compliance Professionals - Storming the Gatekeepers: When Compliance Officers and In-House Lawyers Are at Risk 2017, Friday, September 29, 2017
MP3 Audio  MP3 Audio Special Concerns for Regulated Entities - Special Concerns for Regulated Entities , Tuesday, May 16, 2017
The Government’s Perspective: Duties of In-House Counsel and Compliance Professionals - The Government’s Perspective: Duties of In-House Counsel and Compliance Professionals , Friday, September 29, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Special Concerns for Regulated Entities - Special Concerns for Regulated Entities , Tuesday, May 16, 2017
The Government’s Perspective: Duties of In-House Counsel and Compliance Professionals - The Government’s Perspective: Duties of In-House Counsel and Compliance Professionals , Friday, September 29, 2017
On-Demand Web Programs  On-Demand Web Programs Enforcement 2017: Perspectives from Government Agencies, Thursday, May 18, 2017, New York, NY
Storming the Gatekeepers: When Compliance Officers and In-House Lawyers Are at Risk 2017, Wednesday, October 04, 2017, New York, NY
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