Biography

John Polise is the Associate Director, Broker-Dealer and Exchange (BDX) group in the SEC’s Office of Compliance Inspection and Examinations Market Oversight. John oversees a national staff of examiners which inspect registered broker-dealers, transfer agents, national securities exchanges, the MSRB and SIPIC. Previously, he was head of OCIE’s Market Oversight group. Mr. Polise has served as an Assistant Director in the SEC’s Division of Enforcement, the Division of Trading and Markets, and the Office of Compliance Inspections and Examinations. Mr. Polise was also Counsel to the Chairman of the CFTC and Counsel to the Director, Division of Enforcement at the CFTC. He also held positions at FINRA in both Enforcement and Member Regulation. 

John began his career as an Associate at Cahill Gordon & Reindel in New York and clerked for the Honorable Stanley Sporkin, US District Court for the District of Columbia. He graduated from the University of Pennsylvania, magna cum laude in 1985 and is a 1988 graduate of New York University School of Law. He has been an adjunct professor in Securities Law at Georgetown University School of Law and the Antonin Scalia School of Law. Mr. Polise recently authored an article on equity market structure titled, A Bridge too Far: A Critical Analysis of the Securities And Exchange Commission's Approach to Equity Market Regulation, 11 Brook. J. Corp. Fin. & Com. L. 285 (2017).

Associated Items

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Date
Program or Publication
Format
4/15/2019
On-Demand