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Faculty Profile – Michael D. 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Michael D. Coco is International Counsel in the Division of Corporation Finance’s Office of International Corporate Finance (OICF) at the U.S. Securities and Exchange Commission.  Mr. Coco represents the SEC on the International Organization of Securities Commissions’ (IOSCO) Committee on Issuer Accounting, Audit and Disclosure, and that committee’s Disclosure Subcommittee, he also works with IOSCO, the Financial Stability Board, and the Basel Committee on Banking Supervision on issues including securitization, compensation, and other disclosure-related topics.

Mr. Coco joined the staff of the Division of Corporation Finance in 1998.  From 2002 to 2009, as counsel in OICF, he worked with sovereign issuers registering under Schedule B, as well as with other foreign issuers seeking interpretive guidance on disclosure matters.  He also participated on several rulemaking initiatives, including those relating to the use of IFRS by reporting companies and the elimination of the reconciliation requirement.  Prior to that, he served in a number of offices in the Division, working on a range of topics including structured finance, shareholder proposals, and small business disclosure.

Mr. Coco graduated from the University of Virginia School of Law, where he was an editor of the Virginia Journal of International Law.  He received his B.S. from the Georgetown University School of Foreign Service, an M.A. from the Columbia University School of International and Public Affairs, and a certificate in political studies from SciencesPo (Paris). He is fluent in French and Italian.

Carol McGee is the head of the Office of Derivatives Policy in the SEC’s Division of Trading and Markets.  In that role she directs projects relating to key definitional terms and foreign regulatory issues that arise in connection with the regulation of security-based swaps under U.S. law.  The Office of Derivatives Policy also provides interpretive advice on the regulatory treatment of novel derivative products under the Exchange Act, and administers the new product provisions contained in the Dodd-Frank Act.

 

She was previously a Partner at Alston & Bird LLP and the co-leader of its securities practice group.  Ms. McGee also served as Deputy Chief Counsel in the SEC’s Division of Corporation Finance.  Ms. McGee holds a J.D. from the University of Virginia, an M.Phil from the University of St. Andrews and a B.A. from Wellesley College.

Sara Cortes has over a decade of experience in financial regulation. She currently heads the Investment Adviser Regulation Office in the Division of Investment Management of the SEC, where she leads the consideration of policy issues affecting registered investment advisers. Ms. Cortes led the Commission’s Investment Company Reporting Modernization initiative, which the Commission adopted in 2016. This rulemaking will transform the amount and quality of data that mutual funds will provide regarding their portfolios and business operations in order to enhance all aspects of the Commission’s regulation of asset managers.

As Senior Advisor to the Honorable Elisse Walter, she advised the Commissioner on a variety of enforcement actions and domestic and international regulatory initiatives. During Ms. Walter’s tenure as Chairman, Ms. Cortes served as her Deputy on the Financial Stability Oversight Council. Ms. Cortes also advised the Commissioner on rules implementing Title VII of the Dodd-Frank Act regarding the SEC’s domestic and cross-border regulation of security-based swaps, as well as rules implementing provisions of the JOBS Act.

Ms. Cortes has also advised the SEC’s Enforcement Division on numerous enforcement actions as an attorney in the SEC’s Office of General Counsel. Before joining the SEC, Ms. Cortes handled a broad range of enforcement actions and regulatory matters at the Federal Reserve Board. In private practice, Ms. Cortes conducted internal investigations and advised underwriters and issuers in public offerings and private placements.

Regina Thoele is Senior Vice President of Compliance at National Futures Association (NFA).  Her current responsibilities include overseeing the Compliance Department’s exam, investigation, financial surveillance, and risk management programs; working on enforcement cases; advising Members on compliance issues; assisting NFA Member committees; participating in industry conferences; and developing and monitoring Compliance Department goals.  In addition, Ms. Thoele works with NFA’s Legal Department to develop rules and interpretive guidance, makes presentations to NFA’s Executive Committee and Board of Directors and to other outside organizations, and develops strategic plans and initiatives for NFA’s Compliance Department.  From July 1994 until March 1998, Ms. Thoele held the position of Arbitration Manager and was responsible for supervising staff and helping manage the Arbitration program.  Ms. Thoele has also served as an adjunct faculty member at the Illinois Institute of Technology, where she taught a compliance course.

Ms. Thoele attended Indiana University and received a B.S. degree in finance.  Ms. Thoele also received her designation as a Certified Regulatory and Compliance Professional through the NASD Institute at The Wharton School, as well as her designation as a Certified Fraud Examiner through the Association of Certified Fraud Examiners.