Marc Oorloff Sharma
About Marc Oorloff Sharma
Marc Oorloff Sharma serves as the Assistant Director and Chief Counsel of the Office of the Investor Advocate at the U.S. Securities and Exchange Commission, a position he has held since 2017. He has extensive experience in securities law, having worked in various roles at the SEC and in private practice, and has contributed to significant regulatory initiatives and reports.
Work at U.S. Securities and Exchange Commission
Marc Oorloff Sharma has been serving as the Assistant Director and Chief Counsel in the Office of the Investor Advocate at the U.S. Securities and Exchange Commission (SEC) since 2017. In this role, he focuses on investor protection and advocacy, contributing to the establishment and development of the Office of the Investor Advocate. Prior to this position, he worked as Senior Special Counsel in the same office from 2014 to 2017 and as Senior Investment Management Counsel in the Office of Investor Education and Advocacy from 2010 to 2014. His responsibilities include adjudicating cases involving disciplinary actions against brokerage firms and investment advisers.
Education and Expertise
Marc Oorloff Sharma holds a Juris Doctor (J.D.) from Northwestern University Pritzker School of Law. He also earned a Master of Business Administration (M.B.A.) from USC Marshall School of Business. Additionally, he completed his undergraduate studies at UC Irvine, graduating cum laude with a Bachelor of Arts (B.A.). His educational background provides a strong foundation for his legal and regulatory expertise in the financial sector, particularly in investor advocacy and securities regulation.
Background
Before joining the SEC, Marc Oorloff Sharma worked as an attorney at McDermott Will & Emery LLP from 1998 to 2000 and at Katten Muchin Rosenman LLP from 1997 to 1998. His legal career includes significant experience in investment management and investor education. He has held various roles within the SEC, contributing to the agency's mission of protecting investors and ensuring fair markets.
Achievements
During his tenure at the SEC, Marc Oorloff Sharma has contributed to drafting two reports to Congress while working in the Office of Investor Education and Advocacy. He has authored numerous investor bulletins and alerts, enhancing investor awareness and education. His involvement in rulemaking initiatives includes work related to target date fund regulation and shareholder reports reform, demonstrating his commitment to improving regulatory standards in the investment industry.
Committee Involvement
Marc Oorloff Sharma serves as a non-voting member of the SEC's Small Business Capital Formation Advisory Committee. This role allows him to provide insights and guidance on issues affecting small businesses and their access to capital, furthering the SEC's mission to facilitate capital formation while ensuring investor protection.