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The Inside Scoop on the SEC with Former Commissioner Allison Herren Lee

A unique insider conversation about an important regulatory agency, charged with making sure financial markets and companies work for the people.

Event Details:

Thursday, January 26, 2023
12:00pm - 1:00pm PST

With controversies around new climate disclosure rules and ongoing discussions about how to regulate crypto, it’s a busy time at the Securities and Exchange Commission. Participants heard about how the SEC works and why it matters from Allison Herren Lee, who spent 17 years at the agency, including as a commissioner from July 2019 to June 2022. This was a unique opportunity for an insider conversation about an important regulatory agency, charged with making sure financial markets and companies work for us.

Speaker

Allison Herren Lee headshot

Allison Herren Lee was appointed by President Donald Trump to the U.S. Securities and Exchange Commission, unanimously confirmed by the U.S. Senate, and sworn into office on Jul. 8, 2019. Ms. Lee served as acting chair of the Commission from Jan. 21, 2021 to Apr. 17, 2021.

Commissioner Lee brought to the SEC over two decades of experience as a securities law practitioner. She wrote, lectured, and taught courses internationally in Spain and Italy on financial regulation and corporate law. Commissioner Lee served for over a decade in various roles at the SEC, including as counsel to Commissioner Kara Stein and as senior counsel in the Enforcement Division’s Complex Financial Instruments Unit. In addition, she has served as a special assistant U.S. attorney, was a member of the American Bar Association’s former Committee on Public Company Disclosure, and participated on a USAID project in Armenia assisting in the drafting of periodic reporting and disclosure provisions for a comprehensive law of the Republic of Armenia on Securities Market Regulation.

Prior to government service, Commissioner Lee was a partner at Sherman & Howard LLC, focusing on securities, antitrust, and commercial litigation. A member of the Colorado bar, she holds a bachelor’s degree in business from the University of Colorado and a law degree from the University of Denver College of Law, where she was salutatorian, a Chancellor’s Scholar, and served on the Law Review.

Moderator

Anat Admati

Faculty Director, Anat Admati

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