The mission of the U.S. Securities and Exchange Commission (SEC) is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.

Government

Securities and Exchange Commission

Gary Gensler

Cristina Martin Firvida

Megan Barbero

Lori H. Price

Nicole Creola Kelly

Richard Best

Jessica Wachter

Yj Fischer

Haoxiang Zhu

Vanessa Countryman

Kenneth A. Johnson

Caroline A. Crenshaw

Lori Schock

Allison H. Lee

Gurbir Grewal

Scott Schneider

Vance Cathell

Mark T. Uyeda

Danae Serrano

Caryn Kauffman

David Bottom

Jed Hickman

Hester M. Peirce

Olivier A. Girod

The Legal and Compliance team at the SEC ensures that the agency adheres to legal standards and regulations while executing its mission. This team provides legal advice, oversees compliance protocols, and manages ethical standards to protect investors and maintain market integrity. They also facilitate training and education to ensure all staff are informed about relevant laws and regulations.

Legal and Compliance

Finance and Accounting

Policy and Regulatory Affairs

Legal and Compliance

About

Team members

Other teams at Securities and Exchange Commission

Finance and Accounting

Policy and Regulatory Affairs