Lourdes Gonzalez

Assistant Chief Counsel – Sales Practices, Division of Trading and Markets U.S. Securities and Exchange Commission

Lourdes Gonzalez is Assistant Chief Counsel for Sales Practices in the Division of Trading and Markets at the U.S. Securities and Exchange Commission. The Office of Sales Practices has program responsibility for a broad range of broker-dealer sales practice issues, including Regulation Best Interest and Form CRS, as well as broker-dealer supervision, anti-money laundering compliance, and securities arbitration.  The Office also has program responsibility for business conduct obligations of security-based swap dealers.

During her tenure, Ms. Gonzalez has received numerous SEC awards, including the SEC’s Distinguished Service Award in 2017, which is the SEC’s highest honorary award and given annually to recognize employees or teams who have made substantial and lasting contributions to the SEC’s mission.  Prior to joining the Commission, Ms. Gonzalez worked at the U.S. Department of the Treasury.   She earned her law degree from George Washington University and her undergraduate degree from Georgetown University.