The Legal Policy I Group in the Office of the General Counsel provides legal and policy analysis to the Commission, individual Commissioners, and the Commission’s divisions and offices concerning the federal securities laws, administrative laws, and other applicable laws. In particular, the Legal Policy 1 Group analyzes regulatory recommendations from the Divisions of Trading and Markets (e.g., regarding markets and market participants) and Investment Management (e.g., regarding IA and IC).
- Reviewing and analyzing proposals for rules and regulations drafted by the Division of Trading and Markets and/or the Division of Investment Management.
- Advising on novel legal questions concerning securities laws, in particular the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, as well as other laws, such as administrative laws.
- Preparing a variety of written documents to convey information and analysis, including legal memorandum. Also conveying information and analysis orally through briefings, consultations and other presentations.