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  • SEC Regulation Think-In 2020 - 15 and 16 September 2020

Emily Westerberg Russell was named Chief Counsel of the SEC’s Division of Trading and Markets in July 2019, after serving as a member of the Office of Chief Counsel for a decade.  The Office of Chief Counsel provides legal and policy advice to the Commission on a variety of matters affecting broker-dealers and the operation of the securities markets.  Among other things, the Office was responsible for developing and drafting key components of the Commission’s recently adopted package of rulemakings and interpretations designed to enhance the quality and transparency of retail investors’ relationships with investment advisers and broker-dealers, in particular, Regulation Best Interest.   Ms. Russell received the SEC’s Jay Manning Award in 2019 in recognition of her commitment to excellence, dedication to fair and honest markets, and tireless pursuit of just and workable regulatory responses to practical business problems.  She also was a joint recipient of the Chairman’s Award for Excellence for her work on the IA/BD Team, and a joint recipient of the Law and Policy Award for her work on the Dodd-Frank Legislative Response Team.  Prior to joining the SEC, she was a Senior Associate in the Financial Institutions Group at WilmerHale, where she advised broker-dealers and other financial institutions regarding compliance with a wide range of securities and banking laws, including anti-money laundering requirements.   Ms. Russell received her J.D. from Columbia University School of Law, where she was a James Kent and a Harlan Fiske Stone Scholar, and served as Executive Editor of the Columbia Journal of Transnational Law.  She earned her B.A., summa cum laude, in economics and international relations from Colgate University.

Pete Driscoll was previously Director, Division of Examinations at U.S. Securities and Exchange Commission prior to which he was OCIE’s Chief Risk and Strategy Officer. He joined the SEC in 2001 as a staff attorney in the Division of Enforcement in the Chicago Regional Office and was later a Branch Chief and Assistant Regional Director in OCIE. Prior to the Agency, Mr. Driscoll began his career with Ernst & Young LLP and held several accounting positions in private industry. He received his B.S. in Accounting and law degree from St. Louis University.  He is licensed as a certified public accountant and is a member of the Missouri Bar Association.