Tom Butler

Associate Regional Director

  • Company:U.S. Securities and Exchange Commission
  • Short Bio:Thomas Butler serves as the Associate Regional Director of the SEC’s New York Regional Office with responsibility for the Investment Adviser / Investment Company Examination Program of the Office of Compliance Inspections and Examinations (OCIE).  He leads a staff of examiners, attorneys and accountants charged with assisting the Commission in executing its responsibility of oversight in the New York region of nearly 3,000 registered investment advisers with in excess of $22 trillion in assets under management and more than 200 investment company complexes.  Prior to joining OCIE, Mr. Butler served as the first Director of, and led the establishment of, the SEC’s Office of Credit Ratings.  In this role he was responsible for the oversight and examination of credit rating agencies registered with the Commission as ‘nationally recognized statistical rating organizations’ (NRSROs).  During his tenure, Mr. Butler introduced significant enhancements to the NRSRO oversight and examination regime, including introducing a quantitative analytics capability into the oversight function, developing rule proposals for the Commission’s consideration, and collaborating on various enforcement matters.  Prior to joining the Commission, Mr. Butler was a Managing Director at Morgan Stanley Smith Barney, the joint venture between Morgan Stanley and Citi. During his tenure, Mr. Butler amassed extensive global experience in wealth management, investments and investment advisory, in corporate and structured finance, and in public sector finance. Mr. Butler began his career as an attorney at two major law firms (Milbank Tweed Hadley & McCloy and Fulbright & Jaworski). Mr. Butler received his Juris Doctorate (J.D.) from Rutgers School of Law at Newark and his Bachelor of Arts (B.A.) in Economics from Rutgers College. 
Go back