Jerry Schoenborn

Conducted examinations of SEC registered investment advisers, investment companies and exempt reporting advisers for Office of Compliance Inspections and Examinations, with emphasis on compliance with Federal, State and SRO laws and regulations. Responsible for having a strong understanding of all aspects of the Advisers Act and its applicability to assigned advisers. Collaborated with other Commissions staff on completion of examinations, issuance of examination reports as well as conducting introductory calls with newly registered and Exempt Reporting Advisers to provide general oversight of their compliance program and applicability of regulations.