Miller Robert
About Miller Robert
Robert Miller serves as Senior Special Counsel to the Deputy Directors in the Division of Economic and Risk Analysis at the U.S. Securities and Exchange Commission, a position he has held since 2000. He has extensive experience in regulatory compliance and enforcement, having previously worked at the Financial Industry Regulatory Authority.
Current Role at U.S. Securities and Exchange Commission
Miller Robert serves as Senior Special Counsel to the Deputy Directors in the Division of Economic and Risk Analysis at the U.S. Securities and Exchange Commission (SEC). He has held this position since March 2000, contributing to the agency's regulatory and oversight functions for over 24 years. His role involves providing legal counsel and guidance on economic and risk analysis matters, ensuring compliance with securities laws and regulations.
Previous Experience at Financial Industry Regulatory Authority
Before joining the SEC, Miller Robert worked at the Financial Industry Regulatory Authority (FINRA) from 1997 to 2000. He served as a Senior Investigator in the Enforcement Department for three years. During his tenure at FINRA, he supervised a unit focused on compliance and enforcement, gaining valuable experience in regulatory oversight.
Educational Background
Miller Robert studied at The George Washington University, where he earned a Doctor of Law (JD) degree in Banking, Corporate, Finance, and Securities Law from 1993 to 1997. Prior to this, he completed a Bachelor's degree in Psychology at the College of the Holy Cross from 1986 to 1990. His educational background provides a strong foundation for his legal career in the financial and regulatory sectors.
Supervision of Municipal Advisors
Since May 2011, Miller Robert has supervised a unit dedicated to the examination of Municipal Advisors. This role involves overseeing compliance and regulatory practices within the municipal advisory sector, ensuring that advisors adhere to applicable laws and standards.
Examinations and Regulatory Initiatives
Miller Robert has coordinated examinations related to the sale of 529 Plans to out-of-state residents and led examinations addressing the actions of Fixed Income Alternative Trading Systems. These initiatives reflect his involvement in key regulatory activities aimed at protecting investors and maintaining market integrity.