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  • SEC Regulation Outside the United States conference (5 November 2019)
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Mr. Summer has been an Associate Director of the Division of Corporation Finance at the U.S. Securities and Exchange Commission since 2004.  Prior to that he served as an Assistant Director and a Special Counsel in the Division of Corporation Finance.  He joined the SEC in December, 1985.

 

As an Associate Director, Mr. Summer has supervised the Division’s disclosure operations function, led various rule-making projects and worked on various interpretive and policy initiatives.  He has had direct oversight of the Division’s filing review function, which includes reviewing and commenting upon filings made by public companies pursuant to the Federal Securities laws.  Mr. Summer has also led or participated in numerous rulemakings, including rulemakings to update and revise the disclosure requirements related to executive compensation, the disclosure requirements for oil and gas companies, the disclosure requirements for companies with mining operations, as well as various rulemakings to implement the Dodd-Frank Wall Street Reform and Consumer Protection Act

 

Mr. Summer has been a speaker on the Federal securities laws and related issues involving the Division of Corporation Finance and is currently an adjunct professor of law at the Georgetown University Law Center in Washington, D.C., teaching Securities Regulation. He has also taught at Howard University Law School and the University of Virginia Law School.  Mr. Summer received his J.D. from the Georgetown University Law Center in 1982 and his B.S. in finance from the University of Rhode Island in 1979.

Stephanie Avakian was named Co-Director of the U.S. Securities and Exchange Commission’s Division of Enforcement in June 2017, after serving as Acting Director since December 2016. She was previously the Division of Enforcement’s Deputy Director, serving from June 2014 to December 2016.

Before being named Deputy Director, Ms. Avakian was a partner at Wilmer Cutler Pickering Hale and Dorr LLP, where she served as a vice chair of the firm’s securities practice and focused on representing financial institutions, public companies, boards, and individuals in a broad range of investigations and other matters before the SEC and other agencies.

Ms. Avakian previously worked in the Division of Enforcement as a branch chief in the SEC’s New York Regional Office, and later served as counsel to former SEC Commissioner Paul Carey.

Ms. Avakian received her bachelors degree from the College of New Jersey and a law degree from Temple University’s Beasley School of Law, both with high honors.

Mavis Kelly is an Assistant Director in the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE).  She serves in OCIE’s National Exam Program Office and assists in the administration of the investment company and investment adviser examination program.  Since joining the SEC in 1992, Ms. Kelly has conducted or overseen over 500 examinations of investment companies and investment advisers.  She has been directly involved in many national risk-targeted examination initiatives that focus on a broad array of topics, such as OCIE’s initiatives focusing on retail investors and investors saving for retirement.

Mr. Bartels has served in a number of capacities in the Division of Investment Management, most recently as Senior Policy Advisor to Director Dalia Blass. His work has encompassed rulemaking, applications for exemptive relief, and requests for legal and policy guidance across diverse subjects under the Investment Company Act and the Advisers Act of 1940. Mr. Bartels joined the division in 2010, starting in the Investment Adviser Regulation Office, where he received the Commission’s Law and Policy Award for work on private fund adviser reporting. Mr. Bartels was Branch Chief in the Exemptive Applications and Chief Counsel’s Offices from 2011-2016, focusing on exchange-traded funds, business development companies, funds of funds, and affiliated transactions. Mr. Bartels also served as counsel to Commissioner Kara M. Stein, advising on a wide range of matters under the federal securities laws and supporting the Commission’s Diversity Council. Prior to joining the Division, Mr. Bartels worked in the corporate practice at Sullivan & Cromwell LLP, where he advised clients on securities offerings, mergers and acquisitions, and other corporate transactions. Mr. Bartels received his law degree from Yale Law School and his bachelor’s degree from SUNY Buffalo.

Christian Sabella is Deputy Director of the Division of Trading and Markets at the U.S. Securities and Exchange Commission (SEC), where he is responsible for the Offices of Market Supervision and Clearance and Settlement.  He joined the SEC in 2011 and has served in a number of roles, including as Associate Director for the Office of Clearance and Settlement.  Mr. Sabella has a J.D. from Georgetown University Law Center and received his undergraduate degree from the University of Notre Dame.

Antonia Chion is an Associate Director and head of the Broker-Dealer Task Force of the SEC’s Division of Enforcement, where she assists in planning and directing the Commission’s enforcement program.  Ms. Chion joined the Commission in 1988 and then served in several positions of increasing responsibility in the Enforcement program.  During her tenure at the Commission, Ms. Chion has led significant investigations involving a broad array of subjects, including misconduct by regulated entities, market manipulation, financial fraud, violations of the FCPA, and insider trading.  In 2016 Ms. Chion received the Distinguished Service Award, the SEC’s highest honorary award presented to long-time SEC employees who have made major contributions to the work of the Commission.  In 2000 she received the Stanley Sporkin Award in recognition of outstanding contributions to the SEC’s enforcement program.  In subsequent years, she was a recipient of the Commission’s Law and Policy Award, Capital Markets Award, and the Chairman’s Award for Excellence.

Before joining the Commission, Ms. Chion was the Deputy Bureau Chief of the Narcotics Bureau in the Kings County District Attorney’s Office in Brooklyn, N.Y., where she previously served as a supervisor and trial assistant district attorney.

She received her A.B. from Tufts University and her J.D. from Georgetown University Law Center.