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U.S. Securities and Exchange Commission

Barbara Lorenzen Named Associate Regional Director for Examinations in SEC’s Chicago Regional Office


Washington, D.C., Jan. 5, 2009 — The Securities and Exchange Commission today announced the appointment of Barbara Lorenzen as an Associate Regional Director for Examinations in its Chicago Regional Office.

In her new position, Ms. Lorenzen will oversee the Commission’s compliance examinations of registered broker-dealers and transfer agents located in the nine-state region covered by the Chicago office.

Lori Richards, Director of the SEC’s Office of Compliance Inspections and Examinations, said, “Barbara Lorenzen brings significant leadership qualities to this position. I’m confident that investors in the region will be well-served by her appointment and the continuing outstanding work of the examiners and accountants in the Chicago Regional Office.”

Merri Jo Gillette, Director of the Chicago Regional Office, said, “I am delighted that Barbara has agreed to serve as the next Associate Regional Director for the Chicago Regional Office’s broker-dealer examination group. She brings a wealth of experience and demonstrated management ability to her new position.”

Ms. Lorenzen said, “It is an honor to accept this appointment in the SEC’s Chicago Regional Office. I am excited to be joining the examination team, and look forward to the challenges ahead.”

Ms. Lorenzen, who begins work at the SEC today, has extensive prior experience in auditing for regulatory compliance in the areas of customer protection and capital standards. She worked for 28 years with the Chicago Board of Trade (CBOT) and held positions of increasing responsibility, including Vice President responsible for the Financial Surveillance and Audits Department.

As head of the CBOT’s audit department, Ms. Lorenzen managed a professional staff of 35 individuals. The group was responsible for the ongoing evaluation of financial surveillance techniques and establishing audit procedures to ensure state-of-the art programs for CBOT member firms. Ms. Lorenzen has served multiple terms as chairperson of the Joint Audit Committee, an industry-wide committee made up of members of all domestic commodity exchanges; and as Vice Chairperson of the Intermarket Financial Surveillance Group, comprised of the regulatory arms for all domestic securities and commodities exchanges and the SEC, CFTC, NASD and NFA. She also served as a Board Member of the Futures Industry Association, where she was the Chairperson of the Finance Regulatory Risk Committee. After the CBOT merged with the CME, she became a Managing Director and Chief Compliance Officer for a hedge fund administrator.

Ms. Lorenzen received her bachelor’s degree in accounting from Western Illinois University in 1979.



Modified: 01/05/2009