Securities and Exchange Commission Historical Society
Program

The SEC Chicago Regional Office – A Distinctive History


Grid of 8 photo portraits.
(Top) Randall J. Fons; Merri Jo Gillette; David Glockner; Daniel R. Gregus (Bottom) Mary E. Keefe; Joel R. Levin; Anita M. Nagler; Lori A. Richards

As part of a new gallery soon to open on the history of the U.S. Securities and Exchange Commission’s Regional Offices, the SEC Historical Society and Northwestern University Pritzker School of Law invite you to attend a special program on the evolution of the Chicago Regional Office. Please join us for a moderated conversation with current and former leaders of the office who will discuss a range of topics that have impacted and defined the office over time, including its unique focus areas, seminal enforcement cases and examination initiatives, critical challenges, evolving programs and staffing, unique traditions and culture, and working relationships with SEC headquarters, state and local authorities, exchanges, and other entities. (Illinois CLE credit available for in-person attendance.)

When?

Thursday, October 13
  • 3:00 – 3:30 CT (4:00 - 4:30 ET) – Registration
  • 3:30 – 5:00 CT (4:30 - 6:00 ET) – Panel Discussion
  • 5:00 – 6:30 CT (6:00 - 7:30 ET) – Reception

Where?

Northwestern University Pritzker School of Law
Lincoln Hall
375 E Chicago Avenue
Chicago, IL 60611

Registration (To attend in person)
No registration necessary to view the webast live on this website on October 13 at 3:30 PM CT.

Moderator

  • LORI A. RICHARDS Director, SEC Office of Compliance Inspections and Examinations (1995 – 2009); SEC Office of the Chairman (1994 – 1995); SEC Los Angeles Regional Office, Enforcement (1985 -1994)

Panelists

  • RANDALL J. FONS Regional Director, Central Regional Office (2000-2006); Regional Director, Southeast Regional Office (1997-2000); Multiple positions, including Associate Regional Director, Chicago Regional Office (1988-1997)
  • MERRI JO GILLETTE Regional Director, Chicago Regional Office (2004-2013); Associate Director of Enforcement, Philadelphia Regional Office (1986-2004)
  • DAVID GLOCKNER Regional Director, Chicago Regional Office (2013-2017)
  • DANIEL R. GREGUS Regional Director, Chicago Regional Office (2021-Current); Acting Regional Co-Director (June 2021 - November 2021); Associate Regional Director (BDX Exams) (June 2015 – November 2021); Assistant Regional Director (BD Exams) (February 2007 – May 2015); Assistant Regional Director (ENF) (August 1998 – February 2007) Branch Chief (ENF) (March 1993 – August 1998)
  • MARY E. KEEFE Regional Director, Midwest Regional Office (1994-2003)
  • JOEL R. LEVIN Regional Director, Chicago Regional Office (2018-2021)
  • ANITA M. NAGLER Multiple positions, Chicago Regional Office (1980-1982) and (1984-1993), including Associate Regional Administrator for enforcement (1988-1993). Los Angeles Regional Office (1982-1984)

This program is made possible through the generous support of Peter K.M. Chan, Charles River Associates, Northwestern University Pritzker School of Law and Lori A. Richards.


Permission for Use

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Users are prohibited from sharing or downloading any material for publication or commercial purposes without written permission from the Executive Director. Requests for permission must be submitted by email and specify the material requested and for what purpose.

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