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Tracey McNeil Named SEC’s First Ombudsman

In line with the Dodd-Frank Act’s directive to create the Office of the Investor Advocate, the Securities and Exchange Commission (“SEC”) has selected Tracey McNeil as the agency’s first ombudsman. Announced last week, she will serve as a liaison for resolving any concerns retail investors may have with the SEC or self-regulatory groups. McNeil begins her role as SEC ombudsman on September 22nd.

Currently, McNeil works in the SEC’s Office of Minority and Women Inclusion (“OMWI”; “the Office”). As a senior counsel with OMWI, she has advised in the establishment of the Office, and ensured the fair inclusion of minorities, women, and minority-owned and women-owned businesses in SEC-related activities. Before joining OMWI in 2011, McNeil worked in the SEC Division of Corporation Finance.

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