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SEC Appoints New Associate Regional Director for Examinations in New York Region

September 20, 2017

The SEC named Thomas Butler as its Associate Regional Director for the Investment Adviser and Investment Company examination program in the agency's New York Regional Office.  Mr. Butler is leaving his current position as Director of the SEC's Office of Credit Ratings (OCR), a position he has held since June 2012.


Thomas Butler's Credentials.    Butler had been the first Director of the SEC’s Office of Credit Ratings in June 2012, charged with assisting the Commission in executing its responsibility for the oversight of nationally recognized statistical rating organizations. Prior to that appointment, Mr. Butler was a Managing Director at Morgan Stanley Smith Barney and Citigroup. Prior to Citigroup, he held senior financial advisory and structuring roles at UBS and Babcock & Brown. Mr. Butler began his career as an attorney at two major law firms.


Jessica Kane, Director of the SEC's Office of Municipal Securities, will serve as Acting Director of OCR on an interim basis following Mr. Butler's departure.  In turn, Rebecca Olsen, Deputy Director of OMS, will serve as Acting Director of that office while Ms. Kane is assigned to OCR.