The Securities and Exchange Commission today announced that it has named Daniel R. Gregus as the Associate Director for the broker-dealer examination program in its Chicago Regional Office.  

Mr. Gregus joined the SEC’s broker-dealer examination program in Chicago in February 2007 and has been its acting Associate Director since February 2014.  He began his SEC career in the Enforcement Division in Chicago in 1993 and was later named Assistant Regional Director for enforcement.  

While in the Enforcement Division, Mr. Gregus conducted and supervised more than 100 investigations into accounting fraud, insider trading, compliance violations, and other matters.  More recently, he led the Chicago Regional Office’s municipal advisor task force, which helped develop the SEC’s strategy for examining municipal advisors, and served on a working group to coordinate the SEC’s broker-dealer examination and enforcement programs.

“Dan brings outstanding initiative and expertise that will help us continue to strengthen our risk-based supervision of broker-dealers,” said Marc Wyatt, Acting Director of the SEC’s Office of Compliance Inspections and Examinations, which oversees the SEC’s national examination program.

Chicago Regional Office David Glockner added, “Dan brings deep experience to his new role and is tenacious and fair in his efforts to protect investors.  His strong leadership skills coupled with Chicago’s talented broker-dealer examination staff will serve investors well.”

“I look forward to working with the Chicago Regional Office’s outstanding broker-dealer examination staff to build on our strong track record of protecting investors and enforcing the securities laws,” Mr. Gregus said.

Mr. Gregus is a graduate of the University of Illinois where he was a captain of the varsity football team and three-time Academic All American.  He is a magna cum laude graduate of the University of Illinois College of Law and spent seven years in private practice in Chicago before joining the SEC.