Biography

Ms. Swartz, an attorney, joined the Commission in 2003 and has spent her entire tenure in the Office of Financial Responsibility within the Division of Trading and Markets. This office is responsible for administering the broker-dealer financial responsibility rules, including the net capital rule, customer protection rule, books and records rules, and financial reporting rule. The office also is responsible for administering the capital, margin, segregation, recordkeeping, and reporting rules for security-based swap dealers under Title VII of the Dodd-Frank Act. 

Prior to joining the Commission, Ms. Swartz was an attorney with Thacher Proffitt & Wood, and worked at a public accounting firm. Ms. Swartz received a J.D. from the American University, Washington College of Law and a B.B.A. in Accounting from the University of Notre Dame.

Associated Items

3 items
Date
Program or Publication
Format


4/15/2019
On-Demand