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TRENDING TAGS
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- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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SEC Exodus: COO Jeffery Heslop to Leave
The SEC announced that SEC Chief Operating Officer Jeffery Heslop will leave in February. SEC CFO Kenneth Johnson will become the Acting Chief Operating Officer.
Mr. Heslop joined the SEC in 2010 when he was named the SEC’s first-ever COO. As COO, Mr. Heslop oversees the operations of the SEC’s HR Office; Office of Acquisitions; IT Office; Office of Strategic Initiatives; Office of Financial Management; and Office of Support Operations.
Before joining the SEC, Mr. Heslop worked at Capital One for 12 years, including in the role of Managing VP of Information Risk Management. He also served in the U.S. Army from 1976 to 1998, rising to the rank of Lieutenant Colonel. Mr. Heslop received his BA from Davidson College and his MBA from the College of William and Mary.
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SEC and FINRA Compliance Outreach for Broker-Dealers
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FINRA 'Inflates' Monetary Sanctions in Sanction Guidelines
March 1, 2019