Biography

John Polise is the Associate Director in the Office of Compliance Inspections and Examinations new Broker-Dealer/ Exchange Group (BDX).  He heads the National Examination Program for registered broker-dealers and exchanges.  Previously he lead the Market Oversight Group where he supervised  the inspection of all domestic equity and options exchanges, the operation of FINRA, the MSRB and SIPIC.    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 Counsel to the Chairman of the SEC, Counsel to the Chairman of the CFTC, Counsel to the Director, Division of Enforcement at the CFTC and Counsel to the Director for Markets at the SEC’s Division of Enforcement.   He has held positions at FINRA in both Enforcement and Member Regulation.  He 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 at Georgetown University School of Law and is currently an adjunct professor, teaching securities regulation at George Mason School of Law.

Associated Items

2 items
Date
Program or Publication
Format

10/16/2020
On-Demand