The U.S. Securities and Exchange Commission (SEC) is an independent agency of the United States federal government,created in the aftermath of the Wall Street Crash of 1929. The primary purpose of the SEC is to enforce the law against market manipulation.
Investment banking pertains to certain activities of a financial services company or a corporate division that consist in advisory-based financial transactions on behalf of individuals,corporations,and governments. Traditionally associated with corporate finance,such a bank might assist in raising financial capital by underwriting or acting as the client's agent in the issuance of debt or equity securities. An investment bank may also assist companies involved in mergers and acquisitions (M&A) and provide ancillary services such as market making,trading of derivatives and equity securities,FICC services or research. Most investment banks maintain prime brokerage and asset management departments in conjunction with their investment research businesses. As an industry,it is broken up into the Bulge Bracket,Middle Market,and boutique market.
A credit rating agency is a company that assigns credit ratings,which rate a debtor's ability to pay back debt by making timely principal and interest payments and the likelihood of default. An agency may rate the creditworthiness of issuers of debt obligations,of debt instruments,and in some cases,of the servicers of the underlying debt,but not of individual consumers.
Charles Christopher Cox is an American attorney and politician who served as chair of the U.S. Securities and Exchange Commission,a 17-year Republican member of the United States House of Representatives,and member of the White House staff in the Reagan Administration. Prior to his Washington service he was a practicing attorney,teacher,and entrepreneur. Following his retirement from government in 2009,he returned to law practice and currently serves as a director,trustee,and advisor to several for-profit and nonprofit organizations.
Arthur Levitt Jr. is the former Chairman of the United States Securities and Exchange Commission (SEC). He served from 1993 to 2001 as the twenty-fifth and longest-serving chairman of the commission. Widely hailed as a champion of the individual investor,he has been criticized for not pushing for tougher accounting rules. Since May 2001 he has been employed as a senior adviser at the Carlyle Group. Levitt previously served as a policy advisor to Goldman Sachs and is a Director of Bloomberg LP,parent of Bloomberg News.
Harvey L. Pitt was an American lawyer. He served as the 26th chairman of the U.S. Securities and Exchange Commission (SEC) for 18 months from August 2001 to February 2003,a period that encompassed the September 11 attacks and the Enron scandal.
Robert Charles Pozen known as "Bob" is an American financial executive with a strong interest in public policy. He is the former chairman of MFS Investment Management,the oldest mutual fund company in the United States. Previously,Pozen was the President of Fidelity Investments.
OTC Markets Group is an American financial market providing price and liquidity information for almost 10,000 over-the-counter (OTC) securities. The group has its headquarters in New York City. OTC-traded securities are organized into three markets to inform investors of opportunities and risks:OTCQX,OTCQB and Pink.
Raymond James Financial,Inc. is an American multinational independent investment bank and financial services company providing financial services to individuals,corporations,and municipalities through its subsidiary companies that engage primarily in investment and financial planning,in addition to investment banking and asset management. Headquartered in St. Petersburg,Florida,Raymond James is one of the largest banking institutions in the United States.
Richard C. Breeden is a former chairman of the U.S. Securities and Exchange Commission,hedge fund manager,and corporate chairman.
The Securities and Exchange Commission is the agency of the Government of the Philippines charged with the registration and supervision of corporations and securities,as well as capital market institutions and participants,in the Philippines. As such,the Commission champions investor protection in the Philippines,as part of its mandate.
The Committee on Capital Markets Regulation is an independent and nonpartisan 501(c)(3) research organization financed by contributions from individuals,foundations,and corporations.
David George Nason is an American lawyer,government official and corporate executive from Washington,DC. He served as the president and CEO of GE Energy Financial Services,a unit of General Electric (GE) from 2013 to 2018. Previously at GE,he was the Chief Regulatory Officer and Compliance Leader at GE Capital. Nason is one of 190 GE officers globally. From 2005–2009 he served as Assistant Secretary for Financial Institutions under Treasury Secretary Henry M. Paulson,during which time he was a key architect of the federal government's response to the financial crisis of 2008.
Robert S. Khuzami was the Deputy U.S. Attorney for the United States Attorney's Office for the Southern District of New York until March 22,2019. He previously was a United States federal prosecutor and Assistant United States Attorney for the office,and a former director of the Division of Enforcement of the U.S. Securities and Exchange Commission. He was previously a partner at law firm Kirkland &Ellis. and general counsel of Deutsche Bank AG.
Richard H. Walker is an American lawyer. He is former general counsel of corporate and investment banking at Deutsche Bank and former director of the United States Securities and Exchange Commission (SEC),Division of Enforcement,where he worked for ten years. Before working at the SEC,Walker was a partner at Cadwalader,Wickersham &Taft.
Daniel M. Gallagher,Jr. is an American lawyer in private practice who served as a Commissioner of the U.S. Securities and Exchange Commission (SEC) from 2011 to 2015. Gallagher was appointed to the SEC by President Barack Obama. He also previously served as the deputy director and co-acting director of the Division of Trading and Markets.
J. Christopher Giancarlo is an American attorney and former business executive who served as 13th chairman of the United States Commodity Futures Trading Commission (CFTC). Giancarlo was sworn in as a CFTC commissioner on June 16,2014 for a term expiring on April 13,2019. Starting on January 20,2017,with President Donald Trump's inauguration,Giancarlo began serving as acting chair of the CFTC. In March 2017,the president nominated Giancarlo to be full-time chair of the commission. Giancarlo was confirmed as chairman of the commission by the United States Senate on August 3,2017.
Walter Joseph "Jay" Clayton III is an American attorney who served as the chairman of the U.S. Securities and Exchange Commission from May 4,2017 until December 23,2020. He was nominated for the position by President Donald Trump.
Bradley J. Bondi is an American lawyer,law professor and partner at Paul Hastings LLP,where he is Global Co-Chair of the firm's Investigations and White Collar Defense practice. He has also served on the executive staff of the Securities and Exchange Commission (SEC) and he was appointed to the Financial Crisis Inquiry Commission (FCIC) in the wake of the 2007-2008 financial crisis to investigate its causes.
Thomas A. Russo is an American attorney and former Wall Street executive. He served as vice chairman and chief legal officer of Lehman Brothers Holdings Inc. and as general counsel for American International Group (AIG),two of the companies central to the 2008-2009 global financial crisis.
