Denise Saxon

Assistant Regional Director

  • Company:U.S. Securities & Exchange Commission
  • Short Bio:Ms. Saxon is currently an Assistant Regional Director in the Examination Program in the SEC’s Denver Regional Office. She co-manages over 30 lawyers, accountants, and examiners responsible for the examination of investment companies, investment advisers, broker-dealers, and other entities regulated by the SEC. Prior to joining the SEC’s Denver Office, she was an Associate General Counsel of Fiserv Investment Support Services in Denver, Colorado, where she provided legal counsel to a trust company and affiliated brokerage firm on a wide range of securities, contract, and privacy related matters. Prior to that, Ms. Saxon spent six years an Associate in the Investment Management Practice Group of Morgan Lewis in Washington, DC and Los Angeles, California; was a Staff Attorney and Branch Chief in the SEC’s Office of Compliance Inspections and Examinations in Washington, DC; and was an Examiner and Regulatory Coordinator with the NASD (now FINRA) in Denver, Colorado and Washington, DC. Ms. Saxon holds a BSBA in Finance from Creighton University; a JD from the University of Denver; and a LLM, with distinction, in Securities and Financial Regulation from Georgetown University. She is admitted to the State of Colorado and DC Bars.
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