law degree

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  FINRA Names Its First EVP of Regulatory Ops

  By Melanie Waddell, AdvisorOne  |  April 22, 2013

  FINRA announced Monday that Susan Axelrod would become executive vice president of regulatory operations, a newly created position.

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  SEC Names Acting, Deputy Directors of Enforcement

  By Melanie Waddell, AdvisorOne  |  February 1, 2013

  The SEC announced Thursday that George Canellos has been named acting director, and that David Bergers, director of the SEC’s Boston Regional Office, has been named acting deputy director.

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  SEC Names Grim Deputy Director of Investment Management

  By Melanie Waddell, AdvisorOne  |  January 15, 2013

  David Grim has worked in the division for 17 years, most recently as assistant chief counsel in its Office of Chief Counsel.

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  New SEC Chairwoman Walter Appoints Two Acting Directors

  By Melanie Waddell, AdvisorOne  |  December 17, 2012

  During her first day as the new chairman of the SEC, Elisse Walter appointed two acting directors, one to the Division of Corporation Finance and the other to Trading and Markets.

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  MSRB Names Goldsholle General Counsel

  By Melanie Waddell, AdvisorOne  |  September 20, 2012

  Goldsholle, currently with FINRA, will oversee legal activities including market regulation, professional qualifications, enforcement support and corporate governance.

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  SEC Names Bowden Deputy Director of Exam Division

  By Melanie Waddell, AdvisorOne  |  September 12, 2012

  The SEC announced Wednesday that Andrew J. Bowden has been named deputy director of the agency’s Office of Compliance Inspections and Examinations (OCIE).

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  SEC Names Two to Trading and Markets Division, Appoints New Deputy Chief of Staff

  By Melanie Waddell, AdvisorOne  |  May 21, 2012

  The SEC recently announced three executive appointments, including a new post, managing executive of the Division of Trading and Markets.

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  SEC Names Blizzard to Head Investment Advisor Regulation

  By Melanie Waddell, AdvisorOne  |  April 23, 2012

  The SEC has named Diane Blizzard associate director for regulatory policy and investment adviser regulation in the Division of Investment Management, replacing Robert Plaze.

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  Former EBSA Head Campbell Joins Drinker Biddle & Reath

  By Melanie Waddell, AdvisorOne  |  February 21, 2012

  Brad Campbell, former head of the Department of Labor’s Employee Benefits Security Administration, has joined Drinker Biddle & Reath as counsel in the law firm’s Employee Benefits & Executive Compensation Practice Group in Washington.

• Gallagher Sworn In as SEC Commissioner

  By Melanie Waddell, AdvisorOne  |  November 7, 2011

  The Securities and Exchange Commission announced on Monday that Daniel M. Gallagher has been sworn into office as an SEC commissioner.