Scott W. Bauguess
Deputy Director and Deputy Chief Economist

Education Summary

  • Ph.D. Finance, Arizona State University, 2004
  • M.B.A., Arizona State University, 1998
  • M.S. Electrical Engineering, Arizona State University, 1995
  • B.S. Electrical Engineering, University of Illinois, 1992
Deputy Director and Deputy Chief Economist
Division of Economic and Risk Analysis
U.S. Securities and Exchange Commission
2013–present
Assistant Director
Division of Economic and Risk Analysis
U.S. Securities and Exchange Commission
2011–2013
Lecturer
Advanced Corporate Financial Management
George Washington University
2009–present
Senior Financial Economist
Division of Economic and Risk Analysis
U.S. Securities and Exchange Commission
2009–2011
Visiting Scholar
Division of Economic and Risk Analysis
U.S. Securities and Exchange Commission
2007–2009
Assistant Professor of Finance
Rawls College of Business
Texas Tech University
2004–2009
Electrical Engineer
Semiconductor Product Sector (now Freescale)
Motorola
1992–1998
  • Cindy Alexander, Scott Bauguess, Gennaro Bernile, Yoon-Ho Alex Lee, and Jennifer Marietta-Westberg, Economic Effects of SOX Section 404 Compliance: A Corporate Insider Perspective, 2013, Journal of Accounting and Economics, 56: 267-290.
  • Scott Bauguess, Vladimir Ivanov, Capital Raising in the U.S.: The Significance of Unregistered Offerings Using the Regulation D Exemption, 2012, SSRN Electronic Journal
  • Scott Bauguess, Marie Sushka and Myron Slovin, Recapitalization as a Restructuring Mechanism at Closely Held Firms, 2012, Journal of Banking and Finance 36, 1244-1253.
  • Ralph Walkling, Scott Bauguess, Jim Dunigan, Damien Park, Patrick McGurn, and Don Chew, Risk Management, Corporate Governance, and the Search for Long-term Investors, 2010, Journal of Applied Corporate Finance 22, 58-74.
  • Scott Bauguess, Sara Moeller, Frederik Schlingemann, and Chad Zutter, Ownership Structure and Target Returns, 2009, Journal of Corporate Finance 15, 48-65.
  • Scott Bauguess and Mike Stegemoller, Protective Governance Structure and the Value of Acquisition Activity, 2008, Journal of Corporate Finance 14, 550-566.
  • Scott Bauguess, Jack Cooney, and Kathleen Weis Hanley, Investor Demand for Information in Newly Issued Securities.
  • Gennaro Bernile and Scott Bauguess, Do Merger Related Synergies Exist?
  • Scott Bauguess, Liquidity, Ownership, and the Monitoring Life Cycle of the Firm.

Conference Activities

Panelist, Big Data and Data Analytics: 2015 ABA Annual Securities Fraud Conference
Keynote Speaker, 2015 NRS Annual Spring Investment Adviser and Broker-Dealer Compliance Conference
Keynote Speaker, Market Risk Assessment, OpRisk North America Conference 2015
Financial Industry Panelist, Data Transparency 2015
Panelist, DC: Information and Cyber Governance, Data Analytics and Privacy Briefing, 2015
Keynote Speaker, SIFMA, 2015, SEC Analytics Program: Embracing the New Regulatory Framework - What the Industry Needs to Know
Lead Discussant, 2015 Milken Institute: Roundtable on Systemic Risk and Macroeconomic Policy in the US
Discussant, Shareholder Activism, 2015 Harvard University Roundtable on Shareholder Engagement
Keynote Speaker, Machine Learning in Market Risk Assessment, Columbia University 2015
Paper Presentation, 2014 Society for Benefit-Cost Analysis
Talk, 2014 Department of Treasury Town Hall
Panelist, 2014 SEC Speaks
Panelist, 2014 FMA Conference, "SEC Hot Topics"
Paper Presentation (by co-author), 2014 AFA Conference
Talk, 2013 Director's Roundtable, Regulatory and Compliance Summit
Panelist, 2013 DOJ & SEC Hot Topics
Panelist, 2013 SEC Speaks
Panelist, 2012 FMA Conference
Talk, 2012 Conference on Rethinking the SEC's Beneficial Ownership Rules
Panelist, 2012 SEC Speaks
Panelist, 2011 FMA Conference
Talk, 2011 SOX Internal Controls Update Conference
Panelist, 2011 Midwest Finance Association Conference
Panelist, 2010 NYU Stern Volatility Institute & DTCC
Paper presentation, 2010 MARC Conference
Panelist, 2010 Director's Dialogue, Center for Corporate Governance
Paper presentation, 2009 FIRS Conference
Discussant, 2009 MARC Conference
Panelist, 2008 FMA Conference
Discussant, 2008 Lonestar Conference
Paper presentation, 2007 Lonestar Conference
Discussant, 2006 Lonestar Conference

University Presentations

SEC Conference 2015:  An Accounting & Reporting Update for Public Companies
Southern Methodist University, 2014
University of Portland, 2011
American University, 2008
Temple University, 2008
University of Utah, 2007
U.S. Securities and Exchange Commission, 2007