Legal Policy

The Legal Policy Group provides legal and policy analysis on federal securities laws, administrative procedure, and other laws applicable to the SEC. These attorneys analyze all rulemaking and other regulatory recommendations to the Commission from divisions and offices. The Legal Policy and Administrative Law Group handles recommendations from Investment Management and Trading and Markets, and the Corporation Finance, Accounting and Disclosure Group handles recommendations from Corporation Finance and the Chief Accountant.

Attorneys in these groups coordinate with division and office leaders to identify and resolve legal, policy and economic analysis issues related to agency rulemaking. These attorneys often address complex matters that span a wide variety of areas and raise novel legal questions, conveying their analysis through written and oral consultations while routinely participating in meetings where crucial policies, procedures, and agency positions are established.