Dan Gregus

Dan is the Regional Director of the Chicago Regional Office (CHRO) of the SEC and has nearly 30 years of experience with the Commission. Prior to becoming Regional Director, Dan held a number of leadership positions in the SEC’s Division of EXAMS’ and the CHRO’s Enforcement and Examinations programs, including leading EXAMS’ Office of Clearance and Settlement Examinations and the CHRO’s Broker Dealer (BD) Examinations Group.  He joined the CHRO’s BD Exam Program as an Assistant Regional Director in 2007, where he led some of the CHRO’s and Commission’s largest and most complex fraud, sales practice, and market structure exams of regulated entities.  Prior to that, Dan spent 14 years with the SEC as an attorney in the CHRO’s Enforcement Group.  There, he served as an Assistant Regional Director of Enforcement directing notable investigations and prosecutions of complex fraud and regulatory matters.

Dan is currently a member of Enforcement’s and EXAMS’ Regulation Best Interest Working Groups and EXAMS’ Operating Committee.  Dan has also represented the Commission internationally, providing technical assistance and training to securities regulators from developing markets regarding the foundations of effective compliance systems and examination programs.   

 Prior to joining the Commission, Dan was a litigation associate at two Chicago law firms.  Dan received his Bachelor of Science in Business Administration, with highest honors, and his Juris Doctor, magna cum laude, from the University of Illinois.