FacultyFaculty/Author Profile

Steven Dittert

US Securities and Exchange Commission
Assistant Regional Director, Philadelphia Regional Office
Philadelphia, PA, USA


Steven R. Dittert is an Assistant Regional Director in the SEC’s Philadelphia Regional Office’s (PLRO) examination program. Steve is a member of a team responsible for managing the PLRO’s investment adviser and investment company examination program in the PLRO’s five-state region. Previously, Steve was a Branch Chief, Team Leader, and Securities Compliance Examiner in the PLRO’s investment adviser and investment company exam program. Over his twenty-one year career, Steve has participated on and supervised examinations of investment advisers, investment companies, and mutual fund transfer agents, which identified significant concerns with investment suitability, investment allocations, advertising, fee calculations, loans from clients, valuation, and safety of client assets, among others. Steve received his Master of Science (Finance) degree from Drexel University and his Bachelor of Business Administration (Finance) degree from Temple University.
Share
Email

  • FOLLOW PLI:
  • twitter
  • LinkedIn
  • GooglePlus
  • RSS

All Contents Copyright © 1996-2018 Practising Law Institute. Continuing Legal Education since 1933.

© 2018 PLI PRACTISING LAW INSTITUTE. All rights reserved. The PLI logo is a service mark of PLI.