Thoreau Bartmann

Thoreau Bartmann is Senior Special Counsel for the Rulemaking Office at the US Securities and Exchange Commission. Since he joined the SEC more than ten years ago, Thoreau has been involved in all aspects of asset management regulation, leading a variety of rulemaking initiatives for the Division of Investment Management.  Notably, Thoreau was the branch chief managing the effort that culminated in the 2014 adoption of structural reforms to the $3 trillion money market fund industry.  More recently, he managed work on the fund derivatives proposal issued by the Commission in 2015,and is the Division’s lead on the 2016 mutual fund liquidity rule adoption and its implementation.  He also has expertise in fund distribution issues, drafting key guidance on mutual fund distribution and sub-accounting fee issues, as well as spearheading the response to fund changes in reaction to the DOL fiduciary rule. Before he joined the SEC, Thoreau was a securities enforcement associate at the law firm Fried, Frank, Harris, Shriver and Jacobson where he provided advice to hedge funds on issues related to late trading and market timing, among other things.  Thoreau earned his J.D. from the University of North Carolina, Chapel Hill, and a B.A from the University of Alabama, Birmingham.