Gene Gohlke, an Associate Director for Examinations in SEC's OCIE is calling it quits after 35 years at the SEC.  Dr. Gohlke has been a key architect of the examination program for investment advisers and mutual funds at a time when the number of firms and their assets under management increased dramatically.  He's led these areas for the past 30 years.  Norm Champ, OCIE’s Deputy Director, will serve as Acting Associate Director for the National Investment Adviser/Investment Company Examination Program until Dr. Gohlke’s successor is named.

        Dr. Gohlke's SEC Service.    He  joined the SEC in 1975 as a staff accountant in the Division of Investment Management, prior to the creation of OCIE in 1995.  Dr. Gohlke went on to hold the positions of Examination Program Coordinator, Chief Financial Analyst, and Assistant Director in the Division before becoming Associate Director for the examination program in 1986.  He moved to an Associate Director position in OCIE when it assumed responsibility for the examination program.

Dr. Gohlke served under 10 SEC chairmen during his tenure at the agency.  He served as Acting Director of the Division of Investment Management in 1990.

Dr. Gohlke was a key participant in a number of regulatory policy initiatives related to funds and investment advisers.  Among his many accomplishments, Dr. Gohlke authored standard-setting guidance issued in 1979 that provided investor-oriented controls on mutual funds' use of instruments that create leverage. He helped craft rulemaking adopted in 2003 that requires investment advisers and investment companies to establish compliance programs and appoint chief compliance officers to administer those programs.   [SEC Release 11-97, 4/25/11]