John Polise
About John Polise
John Polise serves as the Associate Director for Broker-Dealer and Exchanges at the U.S. Securities and Exchange Commission, where he has worked since 2000. He has received multiple awards for his contributions to the field and has played significant roles in various regulatory developments.
Work at U.S. Securities and Exchange Commission
John Polise has served as the Associate Director for Broker-Dealer and Exchanges at the U.S. Securities and Exchange Commission (SEC) since 2000. In this role, he oversees a nationwide team of examiners and lawyers tasked with inspecting registered broker-dealers, exchanges, transfer agents, and municipal advisers. His previous position at the SEC was Associate Director for Market Oversight, where he managed inspections of domestic equities and options exchanges, as well as regulatory bodies like FINRA and the MSRB. Polise has played a significant role in various initiatives, including the development of the Commission’s Consolidated Audit Trail proposal.
Education and Expertise
John Polise earned his Juris Doctor (J.D.) from New York University School of Law. He also holds a Bachelor's Degree in European History from the University of Pennsylvania. In addition to his legal education, he has served as an Adjunct Professor at George Mason University - Antonin Scalia Law School since 2010, where he shares his expertise in securities regulation and market oversight with students.
Background
Prior to his tenure at the SEC, John Polise held senior positions at NASDR, now known as FINRA, where he served as Counsel to the Chairman and Counsel to the Director of Enforcement at the Commodity Futures Trading Commission (CFTC). He also worked as an Associate at Cahill Gordon & Reindel, focusing on corporate matters, including KKR's leveraged buyout of RJR Nabisco. Additionally, he clerked for the Honorable Stanley Sporkin in the U.S. District Court for the District of Columbia.
Achievements
Throughout his career, John Polise has received multiple awards for his contributions to the SEC, including the Commission’s Supervisory Excellence Award, the Capital Markets Award, the Jay Manning Award, and the Chairman’s Award for Excellence on two occasions. He has also contributed to significant regulatory developments, such as the approval of the Archipelago trading system for the Pacific Stock Exchange and the creation of the Enforcement Division’s microcap fraud task force.
Contributions to Financial Regulation
John Polise has been instrumental in developing key regulations in the financial sector. He contributed to the creation of NASDAQ’s SuperMontage rules and played a critical role in the SEC's initiatives to enhance market oversight. His work has focused on improving the regulatory framework for broker-dealers and exchanges, ensuring compliance and integrity within the financial markets.