Mark E. Wolfe

Mark Wolfe is the Associate Director for the Office of Derivatives Policy and Trading Practices in the SEC’s Division of Trading and Markets.  In that capacity, he oversees the Office of Derivatives Policy, which is responsible for the implementation of the derivatives provisions of the Dodd-Frank Act.  He also oversees the Office of Trading Practices which is responsible for administering a broad variety of financial regulation, including Regulation M, Regulation SHO, as well as rules governing the publication of quotations in the over-the-counter market, issuer repurchases, research analysts, and other SEC rules concerning market integrity.  Mark first joined the SEC staff in November 1999 as an attorney in the Office of Compliance Inspections and Examinations’ Market Oversight Group.  From April 2003 to September 2006, he was a Senior Counsel in the Division of Enforcement and investigated cases involving broker-dealer misconduct, financial fraud, insider trading, and market manipulation.  After leaving the SEC in 2006, Mark worked in legal and compliance functions at broker-dealers and investment banks including, most recently, as Executive Director of Equities Compliance at J.P. Morgan Securities LLC.  Mark has a B.A. from James Madison University, a M.A. from the University of Maine, and a J.D. from the University of Baltimore School of Law. At the beginning of his career, Mark was an Assistant State’s Attorney in Baltimore County, Maryland.