John Polise

Associate Director Broker-Dealer and Exchange Oversight

U.S. Securities & Exchange Commission

John Polise is the Associate Director Broker-Dealer and Exchange Oversight in the SEC’s Office of Compliance Inspections and Examinations. He oversees a nation-wide staff of examiners and lawyers responsible for inspecting registered broker-dealers, exchanges, transfer agents and municipal advisers. Previously he was Associate Director for Market Oversight where his team was responsible for inspecting all the domestic equities and options exchanges, FINRA, the MSRB and SIPC. Prior to assuming that role in 2010, he was Chief Counsel, Markets and Assistant Director in the SEC’s Division of Enforcement. From 2000 to 2006, Mr. Polise was a Senior Counsel and Assistant Director in the SEC’s Division of Market Regulation (now known as Trading and Markets). He first joined the Commission as a Staff Attorney in 1990. Mr. Polise worked on some notable matters during his tenure at the SEC including developing the Enforcement Division’s microcap fraud task force, working on the approval of the Archipelago trading system as the trading engine for the Pacific Stock Exchange, NASDAQ’s SuperMontage rules, and developing the Commission’s Consolidated Audit Trail proposal. He received the Commission’s Supervisory Excellence Award, the Capital Markets Award, the Jay Manning Award and the Chairman’s Award for Excellence twice. He has also served in senior positions at NASDR (now FINRA), and was both Counsel to the Chairman and Counsel to the Director of Enforcement of the CFTC. Mr. Polise teaches securities law at Antonin Scalia Law School . Mr. Polise was an Associate at Cahill Gordon & Reindel , where he worked on corporate matters including KKRs leveraged buyout of RJR Nabisco. He clerked for the Honorable Stanley Sporkin, US District Court, District of Columbia. He is a 1988 graduate of New York University School of Law. He graduated magna cum laude, with departmental honors from the University of Pennsylvania in 1985.


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