March 30 / April 27 / May 25, 2021
EDT Timezone (UTC -4)Virtual event series

Thoreau Bartmann
Senior Special Counsel, IARO at US SEC


Thoreau Bartmann is Senior Special Counsel for the Investment Adviser Rulemaking Office (IARO) at the US Securities and Exchange Commission. Thoreau has been involved in all aspects of asset management regulation, leading a variety of rulemaking initiatives for the Division of Investment Management during his more than ten years of experience at the SEC. Recently, he was the team lead for the efforts to modernize the regulation of both investment adviser marketing and fund fair valuation, culminating in new and reformed rules adopted for both of these areas in 2020. Before joining IARO, Thoreau was the branch chief managing the effort that led to the adoption of structural reforms to the $3 trillion money market fund industry, managed the fund derivatives proposal, and was the Division’s lead on the 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. 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 private 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 B.A from the University of Alabama, Birmingham.

Agenda Sessions

  • Focus on the marketing rule