Robert F. Miller is a Supervisory Attorney/Exam Manager in the Securities and Exchange Commission’s OCIE broker-dealer group. He began his career with the SEC in March 2000. Robert has led and coordinated a variety of regulatory issues such as the following: identified indications of potential abusive naked short selling; examinations of broker-dealers involving the sale of 529 Plans to out-of- state residents; evaluated the activities of Municipal Advisors; and assessed actions of Fixed Income Alternative Trading Systems with respect to filtering. Since May 2011, he has supervised a unit of attorneys and examiners that focuses on the examination of Municipal Advisors.
Prior to joining the Commission, Robert was a Senior Compliance Examiner in FINRA’s Enforcement Dept. in Washington, DC. Previously, Robert spent a year as a law clerk at the Superior Court of the District of Columbia’s Office of Bar Counsel.
Robert graduated from the George Washington University Law School in 1997, and received his B.A. from the College of the Holy Cross in 1990.