Published on Feb 12th, 2014 | Posted in Articles

The Securities and Exchange Commission today announced that David Fredrickson has been named associate director and chief counsel in the agency's Division of Corporation Finance.  He is expected to assume his new position in March.

Mr. Fredrickson has been assistant general counsel in the SEC’s Office of General Counsel since 1998, where he is responsible for providing legal and policy advice to the Division of Corporation Finance.  During his tenure, he has advised the division and the Commission on implementation of numerous rulemakings, including rules to implement the Sarbanes-Oxley Act, the Dodd-Frank Wall Street Reform and Consumer Protection Act, and the Jumpstart Our Business Startups (JOBS) Act. 

In his new role, Mr. Fredrickson will oversee the work of the division’s Office of Chief Counsel and Office of Capital Markets Trends.  He will be responsible for the no-action, interpretive, and exemptive positions taken by the division on the securities registration process and exemptions from it, and on deregistration, disclosures by corporate officers, directors and principal shareholders, executive compensation disclosure, CEO succession, and rules regarding proxy solicitation and shareholder proposals.

“I am delighted that David will be joining the division’s senior leadership team,” said Division of Corporation Finance Director Keith Higgins.  “His exceptional legal expertise, analytical skills, and judgment are widely known throughout the agency and will be a tremendous asset to the division’s disclosure program and our mission to provide legal support, advice, and recommendations to the Commission.”

Before joining the Office of General Counsel in 1997, Mr. Fredrickson spent three years as an enforcement attorney in the SEC’s San Francisco Regional Office.  Prior to that, he spent eight years in private law practice, where he specialized in commercial and civil litigation. 

Mr. Fredrickson received his bachelor’s degree from the University of California at Berkeley in 1982 and his law degree from Georgetown University in 1986.