Helane Morrison – An Accomplished Legal Compliance Expert And The Newly Appointed SEC Administrator

Helane Morrison has served at the U.S. Securities and Exchange Commission as regional director and is an accomplished attorney and businesswoman. Her achievements in the field of corporate and legal compliance are well-recognized. Since 2007, she has held the position of Chief Compliance Officer and General Counsel at Hall Capital Partners LLC. She completed her Bachelor’s degree in Journalism from Northwestern University and then went to the University of California, Berkeley School of Law where she received her Juris Doctor. While at Berkeley, she held the position of Editor-in-chief of California Law Review.


Thanks to her excellent performance and a long list of achievements in the field of law and compliance, she was recently appointed as SEC Administrator, which is a big deal considering SEC has only handful administrators who are female. After completing her studies at Berkeley School of Law, she joined as a law clerk under Harry A. Blackmun, who is Supreme Court Justice, and Hon. Richard A. Posner of the U.S. Court of Appeals for the Seventh Circuit.


After working as a law clerk for a while under such heavyweights, she went on to practice law independently, before finally moving on to join the San Francisco branch of U.S. Securities and Exchange Commission. While at U.S. Securities and Exchange Commission, her main responsibilities included overseeing regulatory issues, litigation and securities enforcement. She also represented SEC in many different divisions, including for legal, financial and in business communities, along with addressing government and media agencies on behalf of SEC.


Helane Morrison in the past has also conducted many internal corporate and business investigations, and as a lawyer defended many clients and enterprises who were sued by SEC. It is her deep understanding of the functioning of this field and SEC regulations that helped her get appointed as SEC administrator. While taking over as SEC administrator, she showed a keen interest in taking over and understanding the operational dynamics of online brokerage services, which has seen a considerable rise in popularity in the last few years. This falls under division to review, and she is keen on checking whether many of these online brokerage services follow and meet the set standards and regulatory guidelines or not.


Helane Morrison is one of the members of Hedge Fund Subcommittee which is a wing of American Bar Association and is also on the Board of Regional Parks. She is also a much sought after speaker in the field of legal and corporate compliance matters and is seen speaking at many high profile events in the field.

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