Mark Wolfe Named Associate Director in Office of Derivatives Policy and Trading Practices

The Securities and Exchange Commission today announced that Mark E. Wolfe has been named Associate Director of the Office of Derivatives Policy and Trading Practices in the agency’s Division of Trading and Markets. 

Mr. Wolfe spent nearly seven years at the SEC from 1999 through 2006. He first joined the SEC staff in November 1999 as an attorney in the Office of Compliance Inspections and Examinations’ market oversight program. From April 2003 to September 2006 he was a senior counsel in the Division of Enforcement and investigated cases involving broker-dealer misconduct, financial fraud, insider trading, and market manipulation. After leaving the SEC he worked in regulatory affairs and compliance functions at broker-dealers and investment banks including, most recently, as executive director of equities compliance at J.P. Morgan Securities LLC.

The Office of Derivatives Policy and Trading Practices is responsible for implementing the derivatives provisions of the Dodd-Frank Act and for administering Regulation SHO and other SEC rules involving short selling and market manipulation. The office also provides legal and policy expertise to the Division of Enforcement in enforcement matters pertaining to market regulation and oversight. 

“Mark’s broad experience and knowledge makes him extremely well suited for his new position,” said Brett Redfearn, Director of the Division of Trading and Markets.  “I am excited to have him join the division and am confident that he will be an important asset in our ongoing efforts to serve the long-term interests of Main Street investors.” 

“I am excited and honored to be provided with this opportunity and responsibility. Over the course of my career, I have witnessed directly the important work that is being done by the staff in the Division of Trading and Markets and across the Commission, and I am excited to return to the agency,” said Mr. Wolfe. “I hope to be an asset to the program.”

Mr. Wolfe has a bachelor’s degree from James Madison University, a master’s degree from the University of Maine, and law degree from the University of Baltimore School of Law. At the beginning of his career he clerked for the Hon. Judge Frederick C. Wright III, and was an Assistant State’s Attorney in Baltimore County and later Washington County, Maryland.