Robert Shapiro

Assistant Director, Division of Investment Management
S.E.C.

Mr. Shapiro is an Assistant Director in the Chief Counsel’s Office of the SEC’s Division of Investment Management. In that role, Mr. Shapiro oversees the provision of guidance relating to the Investment Advisers Act and the Investment Company Act and the rules thereunder. Prior to serving in his current role, Mr. Shapiro has at different times served as a branch chief in both the IM Liaison Office (ILO) and the Chief Counsel’s Office. In those roles, he was responsible for providing guidance to the SEC’s Divisions of Enforcement and Exams, the public, and others, concerning the application of the Investment Advisers Act and the Investment Company Act.

Mr. Shapiro has also served as Vice President, Corporate Counsel to Prudential. In that role, he provided legal guidance concerning the provision of investment advice through multiple channels, including through traditional advisers and robo-advisers. Previously, Mr. Shapiro was an associate in the office of Ropes & Gray LLP, where he advised registered investment advisers and investment companies with respect to various legal, regulatory and governance matters. Mr. Shapiro earned his B.S. in Political Science and History from the University of Illinois at Urbana-Champaign, and his J.D. from the University of Virginia School of Law.

Robert Shapiro will be speaking at:

CCOs and SEC Examinations

2023/11/07 08:30 - 13:00

Investment Advisers, Marketing, E, S and G, Private Funds and … ?

2023/11/06 09:15 - 10:15

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