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U.S. Securities and Exchange Commission

Lori Schock Named Director of SEC Office of Investor Education and Advocacy


Washington, D.C., Oct. 5, 2009 — The Securities and Exchange Commission today announced that Lori Schock has been named Director of the agency’s Office of Investor Education and Advocacy (OIEA).

Ms. Schock returns to the SEC after serving as Associate Director at the Financial Industry Regulatory Authority’s (FINRA) Investor Education Foundation and Office of Investor Education. Before that, she was Director of Outreach at the Center for Audit Quality.

“As more than half of American households are invested in the markets for their retirement, children’s education, health care or other goals, it’s imperative that the SEC have a world class program to provide investor education and promote financial literacy for Americans of all ages,” said SEC Chairman Mary L. Schapiro. “I am delighted to welcome Lori back to the agency to lead this vital function.”

OIEA each year has direct contact with tens of thousands of individual investors—reaching out to hear their needs, answering their questions and helping solve their problems. The office also leads the Commission’s investor education and financial literacy efforts and other key initiatives, including helping older investors guard against securities fraud.

“Because of the many unique opportunities to serve investors at OIEA, I am eager to once again join my colleagues at the SEC and continue the work of looking out for investors’ interests,” Ms. Schock said.

Earlier in her career at the SEC, Ms. Schock held the positions of Acting Director, Deputy Director and Special Counsel to the Director of OIEA. She joined the agency in 2001 as a Staff Attorney. Ms. Schock received her J.D. and Master’s of Taxation from the University of Akron and her Bachelor of Arts from Furman University.

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Modified: 10/05/2009