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Rating:SEC Names Acting Regional Director in LA Office Not Rated 0.0 Email Routing List Email & Route  Print Print
Tuesday, July 10, 2007

SEC Names Acting Regional Director in LA Office

News summary by MFWire's editors

The Securities and Exchange Commission has named Rosalind R. Tyson acting regional director of the commission's Los Angeles office. She will assume the position following the departure of Randall R. Lee, who is going back to the private sector. The Los Angeles Regional Office conducts enforcement, examination and investor assistance activities in Southern California, Arizona, Nevada, and Hawaii.


The Securities and Exchange Commission today announced the appointment of Rosalind R. Tyson as Acting Regional Director of the SEC’s Los Angeles Regional Office. She will assume this position upon the departure of Randall R. Lee, who is returning to the private sector. The Los Angeles Regional Office conducts enforcement, examination, and investor assistance activities in Southern California, Arizona, Nevada, and Hawaii.

Ms. Tyson currently serves as Associate Regional Director for Examinations in the Los Angeles Regional Office, a position she has held since 1993. In that capacity, she oversees the office’s examination program, which conducts inspections of broker-dealers, investment advisers, mutual funds, and transfer agents, as well as its bankruptcy program. Ms. Tyson joined the Los Angeles Regional Office as an enforcement attorney in 1982 following several years in private practice. She has since held a number of positions of increasing responsibility within the Los Angeles office. She also previously served as Acting Regional Director of that office.

Lori Richards, Director of the SEC’s Office of Compliance Inspections and Examinations, said, “Roz has been a distinguished leader of our examination program for many years, and is familiar with all aspects of securities activities in the region. Investors in the region are well-served by her considerable talents and experience. I’m pleased that she has agreed to serve as acting director of the Los Angeles office.”

Linda Thomsen, Director of the SEC’s Division of Enforcement, said, “Roz Tyson is an accomplished lawyer with excellent judgment, strong management skills, and a wealth of Commission experience. Roz has made significant contributions to the SEC for over two decades, and I know that under her leadership, the Los Angeles office will continue its outstanding record of protecting investors and our securities markets.”

Ms. Tyson graduated from Georgetown University’s School of Languages and Linguistics in 1970, received her Master’s degree in 1972 from the University of Hawaii, and received her J.D. degree from Stanford Law School in 1978. 

Edited by: Erin Kello


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