The General Counsel serves as the Commission’s chief legal officer, providing expertise, advice, and counsel to Commissioners and agency staff.
The General Counsel’s office helps the Commission issue opinions in appeals of SEC administrative proceedings and adjudications before the Commission, including challenges to decisions made by self-regulatory organizations. Attorneys also prepare the Commission’s appellate and amicus briefs, litigate all non-enforcement matters, and advise various divisions and offices on rulemaking and enforcement recommendations. Attorneys also provide expert legal advice on questions about the federal securities laws, administrative law, and other laws and regulations applicable to the SEC.
The Office of the General Counsel consists of the following groups:
General Counsel, Office of the General Counsel
Contact the Office
Modified: Aug. 21, 2023