Erik Sirri consults with clients on matters related to asset management, including robo-advising, mutual funds, and exchange-traded products; securities trading, including high-frequency trading; and financial institutions, with a special emphasis on broker-dealer issues. Professor Sirri has extensive experience with regulatory enforcement matters.
Professor Sirri’s research focuses on the interaction of securities law and finance, investment management, securities market structure, and capital markets. From 2006 through 2009, Professor Sirri was director of the Division of Trading and Markets at the U.S. Securities and Exchange Commission (SEC), where he was responsible for matters related to the regulation of stock and options exchanges, national securities associations, brokers, dealers, clearing agencies, and credit ratings agencies. He served as chief economist of the SEC from 1996 through 1999, and was an assistant professor of finance at Harvard Business School from 1989 to 1995.
Professor Sirri’s writings have been published in the Review of Financial Studies, the Journal of Finance, the Journal of Financial Markets, the Journal of Financial and Quantitative Analysis, and other journals and books. He has served on the boards of securities exchanges, mutual funds, industry associations, and foundations. Professor Sirri has consulted for securities firms, stock exchanges, mutual fund companies, issuers, and information vendors on a variety of regulatory and business matters.
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