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U.S. Securities and Exchange Commission

James A. Clarkson, Director of Regional Office Operations in Enforcement Division, to Retire After 40 Years of Service


Washington, D.C., Nov. 10, 2010 — The Securities and Exchange Commission announced today that James A. Clarkson will retire from the agency at the end of this year and culminate more than four decades of SEC service, including the past 32 years as the Director of Regional Office Operations in the Enforcement Division.

Mr. Clarkson has been the principal liaison between Division of Enforcement management in Washington and the SEC's 11 field offices, coordinating human resources, budget, management and administrative matters. He also has been one of the main SEC enforcement liaisons with state securities commissions, and has worked closely with enforcement directors and other senior enforcement staff to perform a number of other vital duties for the enforcement program. In addition, he has worked on issues involving the regional offices' examination programs. Mr. Clarkson periodically served as an Acting Regional Director in several of the SEC's regional offices over the years — most recently in 2008 and 2009 at the New York Regional Office.

"Jim Clarkson has dedicated his professional career to the SEC's mission of investor protection, and he has had an enormous impact on the agency during the past 40 years," said SEC Chairman Mary L. Schapiro. "Jim leaves behind a substantial legacy of accomplishments here in Washington and at our regional offices around the country. We owe him a debt of sincere gratitude for his wise counsel and outstanding leadership."

Robert Khuzami, the Director of the Division of Enforcement, said, "We speak of the accomplishments of institutions, and that is as it should be, but in doing so we sometimes overlook that those accomplishments are nothing more than the collective efforts of many individuals. Jim Clarkson is someone whose efforts can never be overlooked. He has contributed tremendously to countless SEC accomplishments over his many years of outstanding public service. His experience, long-term perspective and willingness to provide counsel to all who seek his advice make him a kind of stitching that has held together the fabric of the SEC as successive generations pass through its doors. It has been a privilege to have had the opportunity to work with him."

In announcing his plans to retire, Mr. Clarkson said, "I will always treasure my years with the SEC. There is no finer agency in government. I will be forever grateful to have had the opportunity of working with such an outstanding group of dedicated and talented individuals as those who have served as Chairmen, Commissioners and staff in pursuit of the Commission's important mission during my time at the SEC. I especially want to thank the many current and former Regional Directors and the members of their staff for their support and friendship. They are among the most significant reasons I have devoted my professional career to this agency."

When he joined the agency in 1969, Mr. Clarkson first served as a staff attorney in the Enforcement Division. Then he worked in the Division of Corporation Finance's Office of Chief Counsel before becoming a legal counsel to Commissioners Hugh Owens and Irving Pollack. Mr. Clarkson returned to the Enforcement Division as an Assistant Director before his promotion to his current position.

Over the past several years, Mr. Clarkson has been active in providing technical assistance and training on enforcement and market oversight issues to various international securities regulators — including those in Russia, China, Hong Kong, and India. He also has provided assistance to these countries regarding the development and management of regional office networks of national securities regulators.

Mr. Clarkson received a Bachelor of Arts degree from Princeton University, a Masters of Business Administration from Columbia University, and his law degree from the New York University School of Law.

During his career, Mr. Clarkson was awarded the SEC's Distinguished Service Award, which is the highest honor the Commission bestows on members of its staff. He also has received a Presidential Rank Award for Meritorious Service, the Chairman's Award for Excellence, and the SEC's EEO Award.

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Modified: 11/10/2010