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Obtained by Judicial Watch October 3, 2011 through FOIA
Standard Form 50-B Rev. 7/91 U.S. Office of Personnel Management FPM Supp. 296-33, Subch. 4
1 . Name (Last, First, Middle)
NOTIFICATION OF PERSONNEL ACTION 2. Social Security Number 3. Date of Binh
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REGIONAL DIRECTOR
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6-A. Code 6-B. Nature of Action
6-C Code 6-D. Legal Authority
6-E. Code 6-F. Legal Authority
1 5. TO: Position Title and Number
REGIONAL DIRECTOR
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1 2A. Basic Pay 1 2D. Other Pay 20A. Basic Pay L t; j Other Pay
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SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISS ION DIVIS ION OF ENFORCEMENT DIVIS ION OF ENFORCEMENT OFFICE OF REGIONAL DIRECTOR ( BRO) OFFICE OF REGIONAL DIRECTOR (BRO )
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5 - 1 O·Point Other 6 • 1 O-Point/Compensable/30%
24. Tenure
1 O - None 1 - Permanent
28. Annuitant Indicator
2 • Conditional 3 - Indefinite
29. Pay Rate Determinant
0 3 1 . Service Date (Leave) 32. Work Schedule 33. Pan·Time Hours Per
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38. Duty Station Code 39. Duty Station (City· County - State or Overseas Location)
40. Agency
CLS
37. Bargaining Unit Status
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45. Remarks
SALARY INCLUDES A LOCALITY PAYMENT (OR OTHER GEOGRAPHIC ADJUSTMENT )APPLICABLE IN THIS AREA.
46. Employing Depanment or Agency 50. Signature/Authentication and Title of Approving Official
SE - SECURITIES AND EXCHANGE
0 1 / 0 3 / 1 0 47. Agency Code 48. Personnel Office ID 49. Approval Date AUTHORIZING OFFICIAL
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. Name ( L
Standard F orm 50- BRev. 7/ 91U.S. Office of Personnel ManagementFPM Supp.2 96-33, _ Subch. 4 1 ast, First, Middle)
5-A. Code 5-B. Nature Of Action894 GEN ADJ
5-C. Code 5-D. Legal AuthorityZLM P . L . 1 0 7 - 12 3
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NOTIFICATION OF PERSONNEL ACTION
6- A. Code 6-B. Nature of Action
6-C Code 6-D. Legal Authority
6-E . Code 6-F. Legal Authority
1 5. TO: Position Title and Number
ASSOCIATE REGIONAL DIR ( EXAM) ASSOCIATE REGIONAL DIR ( EXAM)
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2 0A. Bas ic Pay L t ja Other Pay O$176997
1 4. Name and Location of Pos ition' s Organiz ation 22 . Name and Location of Pos ition's Organiz ationSECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION DIVISION OF ENFORCEMENT DIVISION OF ENFORCEMENT OFFICE OF REGIONAL DIRECTOR (BRO ) OFFICE OF REGIONAL DIRECTOR (BRO )OFFICE OF ASSOC REG DIR ( EXAM) OFFICE OF ASSOC REG DIR ( EXAM)
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(b)(6) E -E xemptN - Nonexempt 36. Appropriation Code
38. Duty Station Code 39. Duty Station (City- County - State or Overseas Location)2 5 - 0 12 0 - 02 5
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CLS 45. Remarks
SALARY INCLUDES A LOCALITY PAYMENT ( OR OTHER GEOGRAPHIC ADJUSTMENT)APPLICABLE IN THIS AREA.
37. Bargaining U nit Status8 8 8 8
47. Agency Code 48. Personnel Office ID 49. Approval Date AUTHORIZING OFFICIAL 0 1 / 0 3 / 1 0
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48. PersoMel Office ID 49. Approval Date
06/04/10
Obtained by Judicial Watch October 3, 2011 through FOIA
. (b)(6) ;,6·A. Code 5-B. Nat re Of Action
790 REALIGNMENT
UNM MOU DATED
6·A. Code 6-B. Nature of Action
Standard Form 50-B Re . 7/91 U.S. Office of Personnel Management FPM Supp. 296·33, Subch. 4 NOTIFICATION OF PERSONNEL ACTION
7. FROM: Position Title and Number
ASSOCIATE REGIONAL DIR (ENF)
02200000 OB00298
15. TO: Position Title and Number
ASSOCIATE REGIONAL DIR (ENF)
02200100 OB00298
SECURITIES AND EXCHANGE COMMISSION DIVISION OF ENFORCEMENT
SECURITIES AND EXCHANGE COMMISSION DIVISION OF ENFORCEMENT
OFFICE OF REGIONAL DIRECTOR (BRO) OFFICE OF ASSOC REG DIR (ENF)
OFFICE OF REGIONAL DIRECTOR (BRO) OFFICE OF ASSOC REG DIR (ENF)
BOSTON,MASSACHUSETTS BOSTON,MASSACHUSETTS
23. Veterans Preference 24. Tenure 25. Agency Use Preference for RIF 1 • None 3 - 1 O·Point/Disability 5 - 1 O·Polnt Other 0 - None 2 - Conditional )(6)
5·Point 4 - 1 0·Point Compensable 6 - 10·Point Compensable 30% 1 1 - Permanent 3 - Indefinite 27. FEGLI )(6) 28. Annuitant Indicator (b )(6) (b )(6) (b)(6) ULL-TIME
34. Position Occupied 35. FLSA Cate ory 36. Appropria ion Code 1 - Competitive Service 3 - SES General (b )(6) E - Exempt
25-0120-025 40. Agency
LS
BOSTON,SUFFOLK,MASSACHUSETTS
0
8888
46. Employing Department or Agency
SE - SECURITIES AND EXCHANGE JEFFREY A RISINGER 47. Agency Code ASSOCIATE EXECUTIVE DIRECTOR
SEOO 1010900781057
U.S. Office of Personnel Management FPM Supp. 296-33, Subch. 4
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14. Name and Location of Position's Organization
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22. Name and Location of Position's Organization
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47. Agency Code 48. Personnel Office ID 49. Approval Date
Obtained by Judicial Watch October 3, 2011 through FOIA
Standard Form 50·8 Rev. 7/91
890 MISC PAY ADJ 5·C. Code 6·D. Le al Authority
ZLM P.L. 107-123 5·E. Code 5·F. Legal Authority
7. FROM: Position Title and Number
ASSOCIATE DIRECTOR
30600000 OCF0876
NOTIFICATION OF PERSONNEL ACTION
6·C Co e 6·D. Legal Authority
6·E. Code 6·F. Legal Authority
15. TO: Position Title and Number
ASSOCIATE DIRECTOR
30600000 OCF0876
SECURITIES AND EXCHANGE COMMISSION DIVISION OF CORPORATION FINANCE OFFICE OF DEPUTY DIRECTOR
SECURITIES AND EXCHANGE COMMISSION DIVISION OF CORPORATION FINANCE OFFICE OF DEPUTY DIRECTOR
O/ASSOC DIR (DISCL OPTNS) O/ASSOC DIR (DISCL OPTNS)
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27. FEGLI (b 28. Annuitant Indicator 29. Pay Rate Determinant
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(b)(6) F ULL-TIME
34. Position Occupied 35. FLSA Categor 36. Appropriatio Co e 37. Bargaining Unit Status 1 • Competitive Service 3 • SES General (b)(6) E • Exempt
1 1-ooio-001 40. Agency
CLS
WASHINGTON,DISTRICT OF COLUMBIA
8888
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46. Employing Depa tment or Agency
SE - SECURITIES AND EXCHANGE JEFFREY A RISINGER ASSOCIATE EXECUTIVE DIRECTOR 100875529SEOO 1057 04/30/10
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1 . Name (Last, First, Middle)
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8. Pay Plan 9. Occ . Code 10. Grade/Level 1 1 . Step/A.ate 1 2 . Total Salary 16.Pay t a
12A. Basic Pay 12D. Other Pay
14. Name and Location of Posltion•s Organization 22. Name and Location of Position's Organization
23. Veterans Preference 24. Tenure 25. Agency Use
(b)(6) 2 - 5-Point 4 • 1 O·Point Compensable 6 • 1 O·Point/Compensable/30% 1 1 - Permanent 3 • Indefinite 28. Annuitant
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45. Remarks
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47. Agency Code 48. Personnel Office ID
Obtained by Judicial Watch October 3, 2011 through FOIASta dard Form 50-B ·
ev. 7/91 U.S. Office of PersonnelManagementFPM Supp. 296-33, Subch. 4 NOTIFICATION OF PERSONNEL ACTION
2. Social Security Number 3. Date of Birth (b )(6)
317 RESIGNATION 5-C. Code 5-D. Legal Authority
6·A. Nature of Action
6-C Code 6-D. Legal Authority
6·E. Code 6-F. Legal Authority RPM REG 715 . 2 02
5-E. Co e 5-F. legal Authority
ASSOCIATE DIRECTOR
30200000 OCF0883
so
$191378 39322 $
SECURITIES AND EXCHANGE COMMISSION DIVISION OF CORPORATION FINANCE OFFICE OF DEPUTY DIRECTOR
13. Pay Basis Plan 17. Dec. Code 18. Grade/Level 19. Step/Rate 20. To al Salary/Award 21. Pay B sis
02 00 $230700 PA 12B, locality Adj. 1 2C. Adj. Basic Pay 20A. Basic Pay 20B. Locality Adj. 20C. Adj. Basic Pay 200. Other Pay
$ 2 3 0700
OFFICE OF CHIEF ACCOUNTANT
7. FROM: Position Tide and Number 15. TO: Position Title and Number
WASHINGTON,DC
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1 • None 3 - 10-Point/Oisability 5 • 1 0-Point Other 0 • None 2 • Conditional
27. FEGll (b)(6) Indicator(b )(6) (b )(6) ·-30. etir ment Plan Service Comp. Dat 32. Work Schedul (b)(6) (b)(6) ULL-TIME
11-0010-001 40.Agency
CLS
(b)(6)
46. Employing Department or Agency
SE - SECURITIES AND EXCHANGE 50. Signature/Authentication and Title of Approvi g Official
JEFFREY A RISINGER
(b)(6) 29. Pay Rate Oet rminant
0
8888
SEOO 1057 49. Approval Date
06/27/11· ASSOCIATE EXECUTIVE DIRECTOR 110942714
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Standar d F or m 50-B Rev. 7/ 91
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894 GEN ADJ 5-C. Code 5- D. Legal Author ity
ZLM P . L; 1 0 7 - 12 3 5-E . Code 5- F . Legal Author ity
7. FROM: Position Title and Number
DIRECTOR
3 0 0 0 0 0 0 0 OCF0 4 3 5
6-C Code 6-D. Legal Author ity
6-E . Code 6-F . Legal Author ity
1 5. TO: Position Title and Number
DIRECTOR
3 0 0 0 0 0 0 0 OCF04 3 5 8. Pay Plan 9. Occ. Code 1O. Gr ade/ Level 1 1 . Step/ Rate 12 . Total Salar y 1 3. Pay Basis 1 6.Pay Plan 1 7. Occ. Code 1 8. Gr ade/ Level 2 0. Total Salar y/ Awar d 2 1 . Pay Basis
so 0 9 0 5 03 0 0 $2 2 7 3 0 0 PA so 0 9 0 5 03 $ 2 3 0 7 0 0 PA 12 A. Basic Pay 12 B. L ocality Adj. 12 C. Adj. Basic Pay 12 D. Other Pay 2 0A. Basic Pay 2 0B. Locality Adj. 2 0C. Adj. Basic Pay 2 0D. Other Pay
$184647 $ 4 2 6 5 3 $22 7 3 0 0 $ 0 187417 $ 4 3 2 8 3 $ 2 3 0 7 0 0 $ 0 1 4. Name and Location of Position's Or ganiz ation 22 . Name and Location of Posi tion's Or ganiz ation
SECURITIES AND EXCHANGE COMMISS ION DIVIS ION OF CORPORATION FINANCE
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NOTIFICATION OF PERSONNEL ACTION 2 . Social Security N umber 3. Date of Birth
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ASSOCIATE DIRECTOR
3 0 5 0 0 0 0 0 OCF04 74 8. 9. c; o; G /L evel Step/ Rate l ;o;l a;r
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WASHINGTON , DC
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1 5. TO: Position Title and Number
DEPUTY DIRECTOR
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Obtained by Judicial Watch October 3, 2011 through FOIA
Stan dar d F or m 50-B Rev. 7/ 91 U.S. Office of Per sonn el Man agemen t F PM Supp. 2 96-33, Subch. 4 NOTIFICATION OF PERSONNEL ACTION 1 • Name ( Last, F ir st, Middl e)
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ASSOCIATE DIRECTOR ( CHIEF
3 0 5 3 0 0 0 0 OCF0 954
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ASSOCIATE DIRECTOR ( CHIEF COUNSEL)
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Standard Form 50-B Rev. 7/91
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(b)(6)
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3 03 0 0 0 0 0 OCF0585 3 03 0 0 0 0 0 OCF0585
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38. Duty Station Code11- 0 0 1 0 - 0 0 1
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46.E mployin g Departmen t or Agenc y 50. Sign ature/Authen tic ation an d Title of Approvin g Offic ialSE - SECURITIES AND EXCHANGE
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Obtained by Judicial Watch October 3, 2011 through FOIA
Standard F orm 50-BRev. 7/ 91U.S. Office of Personnel Man agementF PM Supp.2 96-33, Subch. 4 1 . Name (Last, F irst, Middle)
NOTIFICATION OF PERSONNEL ACTION 2 . Social Security Number 3. Date of Birth
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ZLM P . L. 1 0 7 - 12 3 5-E . Code 5-F . Legal Authority 6-E . Code 6-F. Legal Authority
7. FROM: Position Title and Number 1 5. TO: Position Title and Number
DEPUTY DIRECTOR (DISC OPS ) DEPUTY DIRECTOR (DISC OPS )
3 0 6 0 0 0 0 0 OCF094 0 3 0 6 0 0 0 0 0 OCF0 9 4 0 9. c o; ;tap/ Rate ;;:asis 1 6;; Plan 1 7 c de r;de/ Level Step/ Rate ;;:•sis
12 A. Basic Pay L;;t; j ;c A;·; i ay O
2 0A. Basic Pay L;;t J A -; i ay Other Pay$ 1 9 0 0 3 7
14. Name and Location of Position 's Organiz ation 22 . Name an d Location of Position's Organ iz ationSECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION DIVISION OF CORPORATION FINANCE DIVISION OF CORPORATION FINANCE OFFICE OF DEPUTY DIRECTOR OFFICE OF DEPUTY DIRECTOR OfASSOC DIR (DISCL OPTNS ) OfASSOC DIR (DISCL OPTNS )
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0
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·.·.·.·.·....f:' y eri. d . . . F ULL-TIME Biweekly
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35. F LSA Category : mpt
36. Appropriation Code
38. Duty Station Code 39. Duty Station (City- Coun ty - State or Overseas Location)1 1 - 0 0 1 0 - 0 0 1
40. Agency
CLS 45. Remarks
SALARY INCLUDES A LOCALITY PAYMENT (OR OTHER GEOGRAPHIC .ADJUSTMENT)APPLICABLE IN THIS AREA.
37. Bargaining Uni t Status8 8 8 8
46.E mploying Department or Agen cy 50. Signature/ Authen tication and Title of Approvin g OfficialSE - SECURITIES AND EXCHANGE
AUTHORIZING OFFICIAL 1 0 0 06 2 8 7 3
47. Agen cy Code 48. Personnel Office ID 49. Approval DateSEO O 1 0 5 7 0 1 / 0 3 / 1 0
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Obtained by Judicial Watch October 3, 2011 through FOIA
Standar d F or m 50-B Rev. 7/ 91
NOTIFICATION OF PERSONNEL ACTION U.S. Office of Per sonnel Management F PM Supp. 296-33, Subch. 4 1 . Name !Last, F ir st, Middle) 2. Social Secur ity Number 3. Date of Bir th
: r=: ::J: =rr ::•: = : : , , ,, ,,,. , :::prJ :rJ: :J:r:: : ia:o.iJ.:�m1:aJ=Jtt =b�'. :. . , ,.,., , ,, ,,.,, , === == / ' , ,, , , . 5-A. Code 5-B. Natur e Of Action 6-A. Code 6-B. Natur e of Action
890 MISC PAY ADJ 5-C. Code 5- D. Legal Author ity 6-C Code 6-D. Legal Author ity
ZLM P . L . 1 0 7 - 12 3 5-E . Code 5- F . Legal Author ity 6-E . Code 6-F . Legal Author ity ' 7. FROM: Position Title and Number 1 5. TO: Position Title and Number
ASSOCIATE DIRECTOR (DISCL OPS ) ASSOCIATE DIRECTOR (DISCL OPS )- -3 0 6 0 0 0 0 0 OCF0 9 1 6 3 0 6 0 0 0 0 0 OCF0 916
9. c; o; ;tep/ Rate 1 ;o;l a;r
O ;;:asis 1 6;; Plan 1 10 c0 ode ;;:asis
1 2A. Basic Pay L t jl ;; ; i ay ;· Other Pay 20A. Basic Pay L t A jl Other Pay $185469 0 0
1 4. Name and Location of Position' s Or ganiz ation 22. Name and Location of Position's Or ganiz ation SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION DIVISION OF CORPORATION FINANCE DIVISION OF CORPORATION FINANCE OFFICE OF DEPUTY DIRECTOR OFFICE OF DEPUTY DIRECTOR O/ASSOC DIR (DISCL OPTNS ) O/ASSOC DIR (DISCL OPTNS )
. . .. .. . · · · ·•·• . . ..... J::) . .
23. Veter ans Pr efer ence
34. Position Occupied
: = :::=:::= :: : t::::::j::: : [tf r ==== 1 t i ::1:: r r ; ::.;:;'. :; ::: ; '. '. '.:'.:'.:::::·.·.· 24. Tenur e 25. Agency Use 26. Veter ans Pr efer ence for RIF 3 - 1 0-Point/ Disability 5 - 1 0-Point Other O - None 2 - Conditional (b)(6)4 - 1 0-Point Compensable
Indicator (b)(6) Pay Rate Deter minant 0
35. F LSA Categor y 37. Bar gaining Unit Status 1 - Competitive Ser vice 2 -E xcepted Ser vice 3 - SE S Gener al4 - SE S Car eer Reser ved E -E xempt N - Nonexempt 8 8 8 8
38. Duty Station Code 11- 0 0 1 0 - 0 0 1
40. Agency
CLS
39. Duty Station !City - County - State or Over seas Location) WASHINGTON , DISTRICT OF COLUMBIA
46.E mpl oying Depar tment or Agency 50. Signatur e/ Authentication and Title of Appr oving Official SE - SECURITIES AND EXCHANGE JEFFREY A RISINGER
49. Appr oval Date 04 /3 0 / 1 0
4 7. Agency Code 48. Per sonnel Office ID ASSOCIATE EXECUTIVE DIRECTOR 1 0 5 7 1 00 8 7 5 5 14 SEO O
0 3 / 05 / 1 0
I J J<b)(6)
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Obtained by Judicial Watch October 3, 2011 through FOIA
Standard Form 50-B
FPM Supp. 296-33, Subch. 4 1 . Name (Last, First, Middle) 2. Social Security Number 3. Date of Birth
(b)(6)
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Rev. 7/91 U.S. Office of Personnel Management NOTIFICATION OF PERSONNEL ACTION
5-A. Code 5-B. Nature Of Action 6-A. Code 6-B. Nature of Action
790 REALIGNMENT 5-C. Code 5-D. Legal Authority 6-C Code 6-D. Legal Authority
UNM MOU DATED 5-E. Code 5-F. Legal Authority 6-E. Code 6-F. Legal Authority
7. FROM: Position Title and Number 1 5 . TO: Position Title and Number
ASSOC REGIONAL DIRECTOR (ENFORCEMENT) ASSOC REGIONAL DIRECTOR ( ENFORCEMENT )
053 0 0 0 0 0 OCH03 79 0 5 3 0 0 1 0 0 OCH03 79 9. c; o ;;:•sis
1 2A. Basic Pay ;· Other Pay $1912 02 0 0
1 4. Name and Location of Position's Organization 22. Name and Location of Position's Organization SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION DIVISION OF ENFORCEMENT DIVISION OF ENFORCEMENT OFFICE OF REGIONAL DIRECTOR ( CHRO) OFFICE OF REGIONAL DIRECTOR ( CHRO)OFF OF SR ASSOC REG DIR (ENF) OFF OF ASSOC REGIONAL DIR ( ENF )
36. Appropriation Code 37. Bargaining Unit Status N - Exempt 8 8 8 8- Nonexempt
38. Duty Station Code 39. Duty Station (City - County - State or Overseas Location) 17 - 16 7 0 - 0 3 1 CHICAGO , COOK, ILLINOIS
CLS 45. Remarks
;tep/Rate ;;:asis 1 6; Plan 1 10 c0 de
20A. Basic Pay L;;t ;jg Other Pay
. . . . 1:f.:I:q\�C? . . .. 1:1:i: �q2_ _._Fl:J.l:J:I: <?:I:. . . r::r>'':' ':': :: ::::::::::::::::: : ::::: :: > : :::::::::::::,,,_._._ ,, ,,, ,)\,,) r ::::::::::::::::::: :::: ' :::::':::'\ :: '\??t:::::>: ::::;;::.> (' \:\: ' ' ' ' : ,, : :? : ' '''t<<:' : '::: : :: : :: > , 23. Veterans Preference 24. Tenure 26. Veterans Preference for RIF
1 - None 3 -1 0-Point/Disability 5 -1 0-Point Other 1 0 - None 2 - Conditional2 - 5-Point 4 -1 0-Point Compensable 6 -1 0-Point/Compensable/30% 1 - Permanent 3 - Indefinite27. FEGLI (b)(6)
34. Position Occupied 1 - Competitive Service 3 - SES General 2 - Excepted Service 4 - SES Career Reserved
35. FLSA Category
28. Annuitant Indicator 29. Pay Rate Determinant 0
40. Agency
46. Employing Department or Agency 50. Signature/Authentication and Title of Approving Official SE - SECURITIES AND EXCHANGE JEFFREY A RIS INGER
4 7. Agency Code 48. Personnel Office ID SEO O 1 05 7
49. Approval Date 0 8 / 1 0 / 1 0
ASSOCIATE EXECUTIVE DIRECTOR 1 0 1461942
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Obtained by Judicial Watch October 3, 2011 through FOIA
Standard Form 50-B Rev. 7/91 U.S. Office of Personnel Management NOTIFICATION OF PERSONNEL ACTION
6-A. Code 6-B. Nature of Action 894 GEN ADJ
5-C. Code 5-D. Legal Authority 6-C Code 6-D. Legal Authority ZLM P . L. 1 0 7 - 123
5-E. Code 5-F. Legal Authority 6-E. Code 6-F. Legal Authority
7. FROM: Position Title and Number 1 5. TO: Position Title and Number
REGIONAL DIRECTOR REGIONAL DIRECTOR
0 5 0 0 0 0 0 0 OCH0464 0 5 0 0 0 0 0 0 OCH0464
14. Name and Location of Position's Organization 22. Name and Location of Position's Organization SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION DIVISION OF ENFORCEMENT DIVISION OF ENFORCEMENT OFFICE OF REGIONAL DIRECTOR ( CHRO ) OFFICE OF REGIONAL DIRECTOR ( CHRO )
36. Appropriation Code 37. Bargaining Unit Status 1 - Competitive Service 3 SES General EN- Exempt 8 8 8 82 - Excepted Service 4 - SES Career Reserved - Nonexempt
FPM Supp. 296-33, Subch. 4 1 . Name (Last, First, Middle) 2. Social Security Number 3. Date of Birth
. . . . · · · · w w ,. . ""' " " ' ' · · · · · • · · · · • · · · · · · · · · · · w , S'. ! ! !:iINO!,.�w· """· · · w · ·: . : ;: ::: ?ti" , ::::=::::::::::::::::::::ntt? : : :::: ::: ? ') :::? : :' ' : : : ;:;:::;:: ::: ::: : :: : :; :: : : : : : :: :}{'{' :\{'':::;::::(\: : : : : : : : :::: :::: :n ?/ . . . . . . . . . . . . . . ,.
23. Veterans Preference 24. Tenure 25. Agency Use RIF(b)(6)1 - None
(b)(6)
34. Position Occupied
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·-
5 - 1 0-Point Other 6 - 1 O-Point/Compensable/30%
35. FLSA Category
1 0 - None1 - PermanentlndicRtor 32. Work Schedule
2 - Conditional3 - Indefinite
F ULL-TIME
29. Pay Rate Determinant
33. Part-Time Hours Per Biweekly
40. Agency
38. Duty Station Code 39. Duty Station (City - County - State or Overseas Location) 17- 1670 - 0 3 1 CHICAGO , COOK, ILLINOIS
CLS 45. Remarks
SALARY INCLUDES A LOCALITY PAYMENT (OR OTHER GEOGRAPHIC ADJUSTMENT ).APPLICABLE IN THIS AREA .
46. Employing Department or Agency 50. Signature/Authentication and Title of Approving Official SE - SECURITIES AND EXCHANGE
48. Personnel Office ID 4 7. Agency Code 49. Approval Date AUTHORIZING OFFICIAL SEOO 1 0 5 7 0 1 / 0 3 / 1 0 1 0 0 0 6 3 6 84
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3 eti@roent Plan__________ 31--<;acvJr.<L Cnmn._Data .ILP.ave)
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Obtained by Judicial Watch October 3, 2011 through FOIA
Standard Form 50-B Rev. 7/91
NOTIFICATION OF PERSONNEL ACTION U.S. Office of Personnel Management FPM Supp. 296-33, Subch. 4 1 . Name (Last, First, Middle)
5-A. Code 5-B. Nature Of Action
894 GEN ADJ 5-C. Code 5-D. Legal Authority
ZLM P . L . 1 0 7 - 12 3 5-E. Code 5-F. Legal Authority
7. FROM: Position Title and Number
ASSOC REG DIRECTOR
6-A. Code 6-B. Nature of Action
6-C Code 6-D. Legal Authority
6-E. Code 6-F. Legal Authority
1 5. TO: Position Title and Number
{REG) ASSOC REG DIRECTOR . {REG)
054 0 0 0 0 0 OCH04 6 6 0 5 4 0 0 0 0 0 OCH04 6 6 8 . 9. c o G /Level Step/Rate
O ;;:•sis 1 6;; Plan 1 7 0 c de Step/Rate ;;:•sis
1 2A. Basic Pay ;c2A; ·;;i ay ;· Other Pay 20A. Basic Pay L t; j 20D. Other Pay $ 1 8 6 6 0 6 0 $ 0
1 4. Name and Location of Position's Organization 22. Name and Location of Position's Organization SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISS ION DIVIS ION OF ENFORCEMENT DIVIS ION OF ENFORCEMENT OFFICE OF REGIONAL DIRECTOR { CHRO ) OFFICE OF REGIONAL DIRECTOR { CHRO )OFFICE OF ASSOC REG DIR {EXAMS ) OFFICE OF ASSOC REG DIR {EXAMS )
. . .<;I:I.:I:<; �<?.1. . J:J::rJ::r.:i: c:>:i: . . . <;I:I:I:<; �<? 1..J:.J::rl::r:I: <?:I: .::::::::::::::::::: ;:;:;:: : : :.::::::::=·= ·· ========:=:==== := ..:= ..:· ..'.· . . ===··· : : : : : t t=/r ========== · ==============:== ====== ====:·:::: ==== ·.· .·.·.·.· . ·.·.·.·.·.·.·· =·= · = · = ·:·:·:·:·: : :;: :;: :;:;:;:;:;:;:;:;:;:;:;:;:=:=·=·;:;:;:::;:;:;:;:;:;:;:;.;:;:;:;:;:;:·:·;: : ::::::.:::...;:::;:::;: :;: :;::::....·.·.·.····:···:·:·:·;:;;;;;:;:;:;:;:;:;
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27. FEGLI . 28. Annuitant Indicator l (b)(6)
29. Pay Rate Determinant 0
32. Work Schedule 33. Part-Time Hours Per
•u: · •cur• : ::• • • : : ::: ::::;:; ;:;• : : : ,, ,, . . ,, ::=::: •t:t: , , ,, : ::::::::• :( :�5::,:�r.::: : :c: : 34. Position Occupied 36. Appropriation Code
1 - Competitive Service 3 - SES General E - Exempt2 2 - Excepted Service 4 - SES Career Reserved N - Nonexempt38. Duty Station Code
17 - 16 7 0 - 0 3 1 40. Agency
CLS 45. Remarks
39. Duty Station (City · County · State or Overseas Location) CHICAGO , COOK , ILLINOIS
SALARY INCLUDES A LOCALITY PAYMENT {OR OTHER GEOGRAPHIC ADJUSTMENT)APPLICABLE IN THIS AREA .
37. Bargaining Unit Status 8 8 8 8
46. Employing Department or Agency 50. Signature/Authentication and Title of Approving Official SE - SECURITIES AND EXCHANGE
47. Agency Code 48. Personnel Office ID 49. Approval Date AUTHORIZING OFFICIAL SEO O 1 0 5 7 0 1 / 0 3 / 1 0 1 0 0 06 3 74 0
·.·.···· 10
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2-6,_'i,'eterans Preference tor RIF [(b}(6)l Conditional>--- f(b)(-
6) . ___] [. ·· · I 2 - 5_-P_o_int_ _4_-_1 0_-_Po_in_t_Co_mp_en_sa_ble 6 --1 0-Point ompensa=ble/30%,....--l--
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Obtained by Judicial Watch October 3, 2011 through FOIA
Standard Form 50-BRev. 7/91
NOTIFICATION OF PERSONNEL ACTIONU.S. Office of Personnel ManagementFPM Supp. 296-33, Subch. 4 1 . Name (Last, First, Middle) 2. Social Security Number 3. Date of Birth
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5-A. Code N i ; 890 MISC PAY ADJ
5-C. Code 5-D. Legal AuthorityZLM P . L . 1 0 7 - 12 3
5-E. Code 5-F. Legal Authority
1- FROM: Position Title and Number
ASSOCIATE REGIONAL DIRECTOR (EXAMS )
052 0 0 0 0 0 OCH04 66
1 4. Name and Location of Position's OrganizationSECURITIES AND EXCHANGE COMMISS ION DIVISION OF ENFORCEMENT OFFICE OF REGIONAL DIRECTOR ( CHRO)OFFICE OF ASSOC REG DIR (EXAMS )
6-A. Code 6-B. Nature of Action
6-C Code 6-D. Legal Authority
6-E. Code 6-F. Legal Authority
1 5 , TO: Position Title and Number
ASSOCIATE REGIONAL DIRECTOR (EXAMS )
0 52 0 0 0 0 0 OCH04 6 6
22. Name and Location of Position's OrganizationSECURITIES AND EXCHANGE COMMISS ION DIVIS ION OF ENFORCEMENT OFFICE OF REGIONAL DIRECTOR ( CHRO )OFFICE OF ASSOC REG DIR ( EXAMS )
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Pay Rate Determinant0
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1 7 - 1 6 7 0 - 0 3 1 40. Agency
CLS 45. Remarks
39. Duty Station (City - County - State or Overseas Location)CHICAGO , COOK , ILLINOIS
8 8 8 8
49. Approval Date0 1 / 1 3 / 1 0
50. Signature/Authentication and Title of Approving Official46. Employing Department or AgencySE - SECURITIES AND EXCHANGE JEFFREY A RISINGER
47. Agency Code 48. Personnel Office ID ASSOCIATE EXECUTIVE DIRECTOR SEO O 1 0 5 7 :). 0 0 3 6 5024
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Obtained by Judicial Watch October 3, 2011 through FOIA
Standard Form 50-B Rev. 7/91 U.S. Office of Personnel Management FPM Supp. 296-33, Subch. 4
1 . Name (Last, First, Middle)
NOTIFICATION OF PERSONNEL ACTION 2. Social Security Number 3. Date of Birth
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790 REALIGNMENT 5-C. Code 5-D. Legal Authority
UNM MOU DATED 03 0 5 1 0 5-E. Code 5-F. Legal Authority
7. FROM: Position Title and Number
6-C Code 6-D. Legal Authority
6-E. Code 6-F. Legal Authority
1 5. TO: Position Title and Number
ASSOC REGIONAL DIRECTOR ( E:NF ) ASSOC REGIONAL DIRECTOR ( ENF )
0 5 1 0 0 0 0 0 OCH04 6 7 8 . Pay Plan 9. Occ. Code 1 0. Grade/Level 1 1 . Step/Rate 1 2. Total Salary
0 5 1 0 0 1 0 0 OCH04 6 7 1 3. Pay Basis 1 6.Pay Plan 1 7 . Occ. Code 1 8 . Grade/Level 20. Total Salary/Award 2 1 . Pay Basis
so 0 9 0 5 02 00 $23 0 7 0 0 PA so 0 9 0 5 0 2 $ 2 3 0 7 0 0 PA 1 2A. Basic Pay 1 2B. Locality Adj. 1 2C . Adj. Basic Pay 1 2D. Other Pay
$184 718 $ 4 5 982 $ 2 3 0 7 0 0 $ 1 4. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION DIVISION OF ENFORCEMENT OFFICE OF REGIONAL DIRECTOR ( CHRO )OFFICE OF ASSOC REG DIR ( ENF )
23. Veterans Preference
0
1 · None 3 - 1 0-Point/Disablllty 5 • 1 0-Point Other 6 • 1 O·Point/Compensable/30%
20A. Basic Pay 20B. Locality Adj. 20C. Adj. Basic Pay 20D. Other Pay
184 718 $ 4 5 9 82 $ 22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION DIVIS ION OF ENFORCEMENT OFFICE OF REGIONAL DIRECTOR ( CHRO )OFF OF ASSOC REGIONAL DIR ( ENF )
CHICAGO , ILLINOIS
0
27. FEGLI ) 28. Annuitant Indicator 29. Pay Rate Determinant(b)(6)
Pion 3 1 . Service Com11. Date (Leave) 32. Work Schedule 0
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38. Duty Station Code
1 7 - 1 6 7 0 - 0 3 1 40. Agency
CLS 45. Remarks
39. Duty Station (City · County · State or Overseas Location)
CHICAGO , COOK , ILLINOIS
8 8 8 8
46. Employing Department or Agency 50. Signature/Authentication and Title of Approving Official
SE - SECURITIES AND EXCHANGE JEFFREY A RISINGER
0 8 / 1 0 / 1 0 47. Agency Code 48. Personnel Office ID 49. Approval Date ASSOCIATE EXECUTIVE DIRECTOR
SEO O 1 0 5 7 1 0 14 6 03 3 9
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Obtained by Judicial Watch October 3, 2011 through FOIA
Standard Form 50-B Rev. 7/91 U.S. Office of Personnel Management FPM Supp. 296-33, Subch. 4 NOTIFICATION OF PERSONNEL ACTION 1 . Name (Last, First, Middle) 2. Social Security Number 3. Date of Birth
. .. ... ..L.......... . ............. ............................ ....... ..... ....... ,.,.,.,.,.,.,.,.,.,.,.,.,.,.,.,.,.,.,.,.,.,.,.,.,.,.,.,.,.,.,.,,,,,,., . . . .
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72 1 REASSIGNMENT 5-C. Code 5-D. Legal Authority
N2M REG 3 3 5 . 102 5-E. Code 5-F. Legal Authority
7. FROM: Position Title and Number
CHIEF OPERATING OFFICER
2 0 0 0 0 0 0 0 OES 0 9 2 0
14. Name and Location of Position's Organization
6-A. Code 6-B. Nature of Action
6-C Code 6-D. Legal Authority
6-E. Code 6-F. Legal Authority
1 5 . TO: Position Title and Number
CHIEF OPERATING OFFICER
3 1 0 0 0 0 0 0 OES 0 9 2 0
22. Name and Location of Position's Organizaiion
SECURITIES AND EXCHANGE COMMISS ION OFFICE OF EXECUTIVE STAFF
OFFICE OF THE CHIEF OPERATING OFICER
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26._\leternns RIF
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ial (b)(6)
27. FEGLI (b)(6) 0
34. Position Occupied 35. FLSA Category 36. Appropriation Code 37. Bargaining Unit Status 1 - Competitive Service 3 - SES General 2 - Excepted Service 4 - SES Career Reserved
E - ExemptN - Nonexempt
38. Duty Station Code
11 - 0 010 - 0 0 1 40. Agency
CLS 45. Remarks
46. Employing Department or Agency
39. Duty Station (City - County - State or Overseas Location)
WASHINGTON , DISTRICT OF COLUMBIA
50. Signature/Authentication and Title of Approving Official
8888
RI
SE - SECURITIES AND EXCHANGE JEFFREY A RISINGER
0 9 / 2 8 / 1 0 47. Agency Code 48. Personnel Office ID 49. Approval Date ASSOCIATE EXECUTIVE DIRECTOR
SEO O 1 0 5 7 1 0 1 5 5 04 4 1
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r7b\76} l'__'_'__' 26. Veterans
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Obtained by Judicial Watch October 3, 2011 through FOIA
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721 REASSIGNMENT 5-C. Code 5-D. Legal Authority
N2M REG 3 3 5 . 102 5-E. Code 5-F. Legal Authority
7. FROM : Position Title and Number
SENIOR ADVISOR
2 6 0 0 0 0 0 0 OED03 0 5
1 4. Name and Location of Position's Organization SECURITIES AND EXCHANGE COMMISSION OFFICE OF THE EXECUTIVE DIRECTOR
23. Veterans Preference 12 - Non 3 -1 0-Point/Disability 5 -1 0-Point Other 5-Pomt-
(b )(6) 4 -1 0-Point
27. FEGLI
30. Retirement Plan 31 . Service Comp. Date (Leave) 32. Work Schedule F .
: : r:::::: :n :: ::::::::::: ::::: : ::::: : : ; :: : : ::t : :::rr :::::34. Position Occupied 35. FLSA Category 36. Appropriation Code
1 12 - Competitive Service 34 - SES General b EN - Exempt- Excepted Service - SES Career Reserved - Nonexempt38. Duty Station Code 39. Duty Station (City - County - State or Overseas Location)
5 1 - 0 04 0 - 5 10 40. Agency
CLS 45. Remarks
Standard Form 50-B Rev. 7/91 U.S. O fice of Personnel Management NOTIFICATION OF PERSONNEL ACTION FPM Supp. 296-33, Subch. 4 1 . Name (Last, First, Middle) 2. Social Security Number
.xxx.::-xx)Cb)(6) 3. Date of Birth
::: :\::: : : : "' , , , , , , ,,,,, ,,,,,,,,,,6-A. Code 6-B. Nature of Action
6-C Code 6-D. Legal Authority
6-E. Code 6-F. Legal Authority
1 5. TO: Position Title and Number
SENIOR ADVISOR
3 10 0 0 0 0 0 OED03 05
22. Name and Location of Position's Organization OFFICE OF THE CHIEF OPERATING OFICER
24. Tenure 25. Agency Use Preference for RIF O - None 2 - Conditional
Annuitant Indicator Pay Rate Determinant 0
33. Part-Time Hours Per ULL-TIME Biweekly
·, :Pay Period
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8 8 8 8
46. Employing Department or Agency SE - SECURITIES AND EXCHANGE
4 7. Agency Code 48. Personnel Office ID 49. Approval Date SEO O 1 0 5 7 1 1 / 1 6 / 1 0
50. Signature/Authentication and Title of Approving Official JEFFREY A RISINGER ASSOCIATE EXECUTIVE DIRECTOR 1 0 2 0 1 8 154
3. Date of Birth
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5·E. Code 5·F. Legal Authority
1 4. Name and Location o f Position's Organization 22. Name and Location of Position's Organization
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(b)(6) N - Nonexempt
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45. Remarks
39. Duty Station (City - County - State or Overseas Location)
46. Employing Department or Agency
4 7. Agency Code 48. Personnel Office ID 49. Approval Date
37. Bargaining Unit Status
Obtained by Judicial Watch October 3, 2011 through FOIA
SEOO 1057 01/03/10
· standard Form 50·8
Rev. 7/91
U.S. Offiee of Personnel Management
FPM Supp. 296·33, Subch. 4 NOTIFICATION OF PERSONNEL ACTION 1 . Name (Last, First, Middle) 2. Social Security Number
(b )(6) (b )(6) ·••'··•·•
5·A. Code Nature Of Action 6·A. Code 6·8. Nature of Action
894 GEN ADJ 5-C. Code 5·D. Legal Authority
ZLM P . L . 107-123 6·C Code 6·D. Legal Authority
6·E. Code 6·F. Legal Authority
7. FROM: Position Title and Number 15. TO: Position Title and Number
SUPV STAFF ACCOUNTANT (SI) SUPV STAFF ACCOUNTANT (SI) ASSOCIATE REGIONAL DIRECTOR (EXAM) ASSOCIATE REGIONAL DIRECTOR (EXAM) 07005000 ODR0319 07005000 ODR03 19
SECURITIES AND EXCHANGE COMMISSION DIVISION OF ENFORCEMENT
SECURITIES AND EXCHANGE COMMISSION DIVISION OF ENFORCEMENT
OFFICE OF REGIONAL DIRECTOR (DRO) OFFICE OF ASSOC REG DIR (EXAMS)
OFFICE OF REGIONAL DIRECTOR (DRO) OFFICE OF ASSOC REG DIR {EXAMS)
DENVER, COLORADO . DENVER, COLORADO
23. Veterans Preferen e Tenure 25. Agency Use 26. Veterans Prefe ence for RIF
(b)(6) 1 · None 3 • 10-Point/Disability 5 - 10-Point Other l 0 - None 2 - Conditional (6)(6)2 • 5·Point 4 - 1 O·Point Compensable 6 - 1 O·Point/Compensable/30% 1 • Permanent 3 • Indefinite
27. FEGLI 28. Annuitant Indicator 29. Pay Rate Determi ant
0
F ULL-TIME
3 - SES General E - Exempt
38. Duty Station Code
08-0600-031 40. Agency
CLS
DENVER, DENVER, COLORADO
8888
RI
SALARY INCLUDES A LOCALITY PAYMENT (OR OTHER GEOGRAPHIC ADJUSTMENT) APPLICABLE IN THIS AREA .
50. Signature/Authentication and Title of Approving Official
SE - SECURITIES AND EXCHANGE _
AUTHORIZING OFFICIAL 100068573
U.S. Office of Personnel Management FPM Supp. 296-33, Subch. 4 1 . Name (Last, FirS1, Middle) 2. Social Security Number 3. Date of Birth
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Code
ADJ 5-C. Code 6·C Code
5· E. Code e 6-E. Code
Planl 1 10. 1 1 1 . 112. 11 3. TS. Grade/level b9. 120. 121.
1 2A. Basic Pay 11 . 1;; A;·; i ay I 20A. Basic Pay 12;. J
;;c3A�; i ay 12;.
. S193680 14. Name and Location of Position's Organization 22. Name and Location of Position's Organization
·.·.·.·.····.··.·.·············.···.·.·····.····.·.····.·.·.···.·····.·.···.············· . . . . . . . . . . . . . . . . . . . . . . ' . . . . . . . . . . ' . ....... . . .. .... .. J:? . . .. 2 .<?.. <?. .......... ..... . . . ............ ...... . .. . ..... ...... . ...... .... ......... . . . . . . . . ......
23. Veterans Preference '(b J (b)(6) 30. Retirement Plan
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24. Tenure 26. Agency Use 26. Veterans Preference for RIF h
2R. Annuit;mt lntiir:ator 29. Pay Rate Determinant
31 . Service Comp. Date (Leave) 32. Work Schedule 33. Part·Time Hours Per e
Pa¥,
g Se e (b)(6) 2 • Excepted Service 4 • SES Career Reserved N - Nonexempt
38. Duty Station Code 39. Duty Station (City · County · State or Overseas Location)
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45. Remarks
4 7. Agency Code 48. Personnel Office ID 49. Approval Date
Obtained by Judicial Watch October 3, 2011 through FOIA
Standard Form 50-B Rev. 7/91
NOTIFICATION OF PERSONNEL ACTION )(6)
'5-A. 5·B. Nature Of Action 6·A. Code 6·B. Nature of Action
894 GEN 5·D. Legal Authority 6·D. Legal AU1hority
ZLM P . L . 107-123 5-F. L gal Authority 6-F. Legal Authority
7. FROM: Position Title and Number 15. TO: Position Title and Number
REGIONAL DIRECTOR REGIONAL DIRECTOR
07000000 ODR0254 07000000 ODR02 54 8 . Pay 9. Occ. Code Grade/level Step/Rate Total Salary
so 0905 02 00 $2273 00 ;;:asis 16.Pay Plan 17. Occ. Code Step/Rate Total Salary/Award Pay Basis
SO 0905 02 0 $230700 PA l; t A j 12D. Other Pay L; t jQ Other Pay
$190818 $ 0 0
SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION DIVISION OF ENFORCEMENT DIVISION OF ENFORCEMENT OFFICE OF . REGIONAL DIRECTOR (DRO) OFFICE OF REGIONAL DIRECTOR (DRO)
DENVER, COLORADO
)(6) : �$';;nt 27. FEGLI (b )(6)
(b)(6)
3 • 1O·Point/Disability 4 • 1O·Point Compensa le
5 - 1 O·Point Ot er 0 • None 2 • Conditional (b)(6)6 • 1 O-Point/Compensable/30% 1 1 • Permanent 3 • Indefinite
(b)(6) 0
(b )(6) Biw ekly . . F ULL-TIME Period
34. Position Occupied 35. FLSA Cate ory 36. Appropriation Code 37. Bargaining Unit tatus
2 1 ·Competitive S rvice 3 • SES G neral E · Exempt 8 8 8 8
08-0600-031 40. Agency
CLS
DENVER, DENVER, COLORADO
SALARY INCLUDES A LOCALITY PAYMENT (OR OTHER GEOGRAPHIC ADJUSTMENT) APPLICABLE IN THIS AREA.
46. Employing Department or Agency 50. Signature/Authentication and Title of Approving Official
SE - SECURITIES AND EXCHANGE
SEOO 1057 01/03/10 AUTHORIZING OFFICIAL 100070441
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Obtained by Judicial Watch October 3, 2011 through FOIAStandard Form 50·B Rev. 7/91 U.S. Office of Personnel Management FPM Supp. 296·33, Subch. 4
1 . Name (Last, First, Middle)
890 MISC PAY ADJ 5-C. Code 5-D. Legal Authority
ZLM P . L . 1 0 7 - 12 3 5-E. Code 5-F. Legal Authority
7. FROM: Position Title and Number
SUPERVISORY ATTORNEY
072 0 0 1 0 0 ODR02 6 0
1 4. Name and Location of Position's Organization
NOTIFICATION OF PERSONNEL ACTION 2. Social Security Number
6-C Code 6-D. Legal Authority
6-E. Code 6-F. Legal Authority
3. Date of Birth
1 5. TO: Position Title and Number
SUPERVISORY ATTORNEY
072 0 0 1 0 0 ODR0 2 6 0
22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION DIVISION OF ENFORCEMENT
SECURITIES AND EXCHANGE COMMISS ION DIVISION OF ENFORCEMENT
OFFICE OF REGIONAL DIRECTOR (DRO )OFF OF ASSOC REGIONAL DIR ( ENF)
OFFICE OF REGIONAL DIRECTOR (DRO )OFF OF ASSOC REGIONAL DIR ( ENF)
PrAfArone<Lfr RIF 3 - 1 0-Point/Disability 5 • 1 0-Point Other O • None 2 - Conditional 4 - 1 0-Point Compensable
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36. Appropriation Code 37. Bargaining Unit Status 1 • Competitive Service 3 - SES General 2 - Excepted Service 4 - SES Career Reserved
38. Duty Station Code
0 8 - 0 6 0 0 - 0 3 1 40. Agency
CLS
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DENVER , DENVER , COLORADO
60. Signature/Authentication and Title of Approving Official
8 8 8 8
SE SECURITIES AND EXCHANGE JEFFREY A RISINGER- ·
47. Agency Code 48. Personnel Office ID ASSOCIATE EXECUTIVE DIRECTORSEO O 1 0 5 7 1 1 0 2 6 13 4 0
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Obtained by Judicial Watch October 3, 2011 through FOIA
Standard Form 50·BRev. 7/91U.S. Office of Personnel ManagementFPM Supp. 296·33, Subch. 4f. Name (Last, First, Middle)
NOTIFICATION OF PERSONNEL ACTION 2. Social Security Number 3. Date of Birth
j(b)(6)JOS EPH .. K... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ... . . . . . . . . . . . . . . .
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983 CHANGE ORG CD PSN NUMBER 5-C. Code 5·D. Legal Authority
5-E. Code 5·F. Legal Authority
7. FROM: Position Title and Number
CHIEF COUNSEL
4 0 0 0 0 0 0 0 OENF5 3 4
6·C Code 6-D. Legal Authority
6·E. Code 6-F. Legal Authority
1 5. TO: Position Title and Number
CHIEF COUNSEL
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1 4. Name and Location of Position's Organization 22. Name and Location of Position's OrganizationSECURITIES AND EXCHANGE COMMISSION DIVISION OF ENFORCEMENT
SECURITIES AND EXCHANGE COMMISSION DIVISION OF ENFORCEMENT DIVISION OF ENFORCEMENT OFFICE OF CHIEF COUNSEL OFFICE OF CHIEF COUNSEL GROUP
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1 - None 3 •1 O·Point/Disability 5 -1 O·Point Other O - None 2 - Conditional2 • 5·Point 4 -1 0-Point Compensable 6 -1 0-Point/Compensable/30% 2 1 - Permanent 3 - Indefinite
29. Pay Rate Determinant
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36. Appropriation Code 37. Bargaining Unit Status3 - SES General2 1 • Competitive Service2 • Excepted Service 4 - SES Career Reserved
38. Duty Station Code11 - 0 0 1 0 - 0 0 1
40. Agency
CLS 45. Remarks
3.9. Duty Station (City - County - State or Overseas Location)WASHINGTON , DISTRICT OF COLUMBIA
8 8 8 8
46. Employing Department or Agency 50. Signature/Authentication and Title of Approving OfficialSE - SECURITIES AND EXCHANGE JE:'FFREY A RISINGER
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47. Agency Code 48. Personnel Office ID ASSOCIATE EXECUTIVE DIRECTOR SEO O 1 0 5 7 1103 3 3 3 4 0
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Obtained by Judicial Watch October 3, 2011 through FOIA
721 REASSIGNMENT 5-C. Code 5-D. Legal Authority
WDM SCH 2 13 . 3 1 02 (D ) 5-E. Code 5-F. L gal Authority
7. FROM: Position Title and Number
ASSOCIATE DIRECTOR
4 0 8 0 0 0 0 0 OEN0 743
SECURITIES AND EXCHANGE COMMISS ION DIVISION OF ENFORCEMENT OFFICE OF ASSOCIATE DIRECTOR
6-C Code 6-D. Legal Authority
6-E. Code 6-F. Legal Authority
1 5 . TO: Position Title and Number
ASSOCIATE DIRECTOR
4 0 8 0 0 1 0 0 OEN0 743
22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISS ION DIVIS ION OF ENFORCEMENT OFFICE OF REGIONAL DIRECTOR (ARO )DIVIS ION OF ENFORCEMENT OFFICE OF ASSOC DIRECTOR
3 - SES General
Standard Form 50-B Rev. 7/91 U.S. Office of Personnel Management FPM Supp. 296-33, Subch. 4 NOTIFICATION OF PERSONNEL ACTION 1 . Name (Last, First, Middle)
1 4. Name and Location of Position's Organization
2. Social Security Number 3. Date of Birth
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38. Duty Station Code
1 1 - 0 0 1 0 - 0 0 1 40. Agency
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46. Employing Department or Agency
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37. Bargaining Unit Status
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50. Signature/Authentication and Title of Approving Official
SE - SECURITIES AND EXCHANGE JEFFREY A RISINGER 47. Agency Code 48. Personnel Office ID 49. Approval Date ASSOCIATE EXECUTIVE DIRECTOR
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Standard Form 50-B Rev. 7/91
NOTIFICATION OF PERSONNEL ACTION U.S. Office of Personnel Management FPM Supp. 296-33, Subch. 4 1 . Name (Last, First, Middle)
5-A. Code 5-B. Nature Of Action
721 REASSIGNMENT 5-C. Code 5-D. Legal Authority
2. Social Security Number 3. Date of Birth
6-A. Code 6-B. Nature of Action
6-C Code 6-D. Legal Authority WDM SCH 2 13 . 3 1 02 (D )
6-E. Code 5-F. Legal Authority 6-E. Code 6-F. Legal Authority
7. FROM: Position Title and Number 1 5. TO: Position Title and Number
ASSOCIATE DIRECTOR ASSOCIATE DIRECTOR
4 0 5 0 0 0 0 0 OEN0 7 0 9 4 0 5 0 0 1 0 0 OEN0 7 0 9 9. c o; ;tep/Rate 1 ;o;l a;r
O ;;:•sis 1 6;; Plan 1 7 c de Step/Rate ;;:•sis
1 2A. Basic Pay ;· L; t; j3 ;cJA ; i ay ;· Other Pay 20A. Basic Pay L: t; j3 Other Pay $1 874 17 0 0
1 4. Name and Location of Position's Organization 22. Name and Location of Position's Organization SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION DIVISION OF ENFORCEMENT DIVIS ION OF ENFORCEMENT OFFICE OF ASSOCIATE DIRECTOR OFFICE OF REGIONAL .DIRECTOR (ARO )
DIVIS ION OF ENFORCEMENT OFFICE OF ASSOC DIRECTOR WASHINGTON , DC . . . . �� .r. ':r'9.
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. . . . .· :::::::: : : :m :1 ?' : : : 23. Veterans Preference 24. Tenure 25. Agency Use for
(b}(6)3 - 1 0-Point/Disability 5 - 1 0-Point Other O - None 2 - Conditional
34. Position Occupied 1 -2 - Excepted Service Competitive Service
38. Duty Station Code 1 1 - 0 0 1 0 - 0 0 1
40. Agency
CLS 45. Remarks
36. Appropriation Code 37. Bargaining Unit Status 8 8 8 8
39. Duty Station (City - County - State or Overseas Location) WASHINGTON , DISTRICT OF COLUMBIA
4 7. Agency Code 48. Personnel Office ID 49. Approval Date ASSOCIATE EXECUTIVE DIRECTOR 0 9 / 0 9 / 1 0
46. Employing Department or Agency 50. Signature/Authentication and Title of Approving Official SE - SECURITIES AND EXCHANGE JEFFREY A RISINGER
SEO O 1 0 5 7 1 0 16 9 02 1 0
/U.S. Office of Personnel Management FPM Supp. 296·33, Subch. 4 1. Name (Last , First, Middle) 2. Social Security Number 3. Oate of Birth
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5·C. Code 6·C Code
5-E. Code 6-E. Code
Planl 1 10. / 1 1 1 . R 1 1 2. 1 13. 16;; 118· ;de1Leve1 b 12;· ; / ward 121 .
11 1;; ;;i ay 11;. 20A. Basic Pay I 1;;2 -; i ay 12;.
181224 14. Name and Location of Position's Organization 22 . Name and Location of Position's Organi zation
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s
1 - Permanent 3 - Indefinite 28. Annuitant Indicator 29. Pay Rate Determinant
30. Retirement Plan 31 . Service Comp. Date (Leave) 32. Work Schedule 33. Part-Time Hours Per
(b)(6) . . F ULL-TIME Pay Period
2 - Excepted Service 4 - SES Career Reserved N • Nonexempt 38. Duty Station Code 39. Duty Station (City - County - State or Overseas Location)
D
45. Remarks
4 7 . Agency Code 48. Personnel Office ID 49. Approval Date
06/10/11
50. Signature/Authentication and Title of Approv ing Official
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Obtained by Judicial Watch October 3, 2011 through FOIA
Standard Form 50·8 Rev. 7 91
NOTIFICATION OF PERSONNEL ACTION
.
5·A. Code 5·B. Nature Of Action 6·A. Code 6·B. Nature of Action
890 MISC PAY ADJ 5·D. Legal Authority 6·D. Legal Authority
ZLM P . L . 107-123 5-F. Legal Authority 6-F. Legal Authority
7. FROM: Position Title and Number 1.5. TO: Position Title and Number
ASSOC REGIONAL DIRECTOR (LITIGATION} ASSOC REGIONAL DIRECTOR (LITIGATION}
40700100 OEN0743 40700100 OEN0743 8. Pay 9. Occ. Code Grade Level Step/ ate Total Salary
so 0905 01 00 $212374 Pay Basis
PA Plan 1 10;c0�de Step/Rate ; asis
12A. Basic Pay ;· L��
A j
Other Pay 20B. Locality Adj. Other Pay
$170966 0 $ 4 3 892 0
SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE" COMMISSION DIVISION OF ENFORCEMENT DIVISION OF ENFORCEMENT DIVISION OF ENFORCEMENT DIVISION OF ENFORCEMENT O FICE OF ASSOC DIRECTOR OFFICE OF ASSOC DIRECTOR
WASHINGTON,DC WASHINGTON,DC : '
23. Veterans Pre erence 5 • 1O·Point Other : r�nt
3 - 1 O·Point/ isability
27. FEGLI (b)(6)(b)(6)
24. Tenure 25. Agency Use 26. Veteran Preference for RIF
1 0 - None 2 - Conditional (b)(6) (b)(6) 0
(b)(6) Biweekly
34. Position Occupied 35. FLSA Category 36. Appropriation Code 37. Bargaining Unit Status
2 1 • Competitive Service 3 • SES General (b )(6) E - Exempt 8 8 8 8
11- 0010-001 40. Agency
CLS
(b)(6)
46. Employing Department or Agency
SE - SECURITIES AND EXCHANGE
SEOO 1057
JEFFREY A RISINGER ASSOCIATE EXEC TIVE DIRECTOR 110892518
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Obtained by Judicial Watch October 3, 2011 through FOIA
1 . Name (Last. First. Middle) 2. Social Security Number 3. Date of Birth
:.:.:I ·······:J:t ] : : : : :nr·::n:::: · ·: : : : • : .. ::: ::::::: ::::• :::: r: ::::... 6-A. Code 6·8. Nature of Action
23. Veterans Preference 1 · None 2 • 5·Point
27. FEGLI (b)(6)
34. P.osition Oc upied
3 - 1 0-Point/Disability 4 - 1 0-Point Compensable
2
5 • 1 O·Point Other 6 • 1 O·Point/Compensable/30%
35. FLSA Category
22. Name and Location of Position's Organization
1 0 - None 1 - Permanent
2 • Conditional 3 • Indefinite
36. Appropriation Code
29. Pay Rate Determinant
0
37. Bargaining Unit Status
40. Agency
CLS 45. Remarks
FPM Supp. 296·33, Subch. 4
Standard Form 50·B Rev. 7/91 U.S. Office of Personnel Management NOTIFICATION OF PERSONNEL ACTION
r itl•liiroltil:i:]:5-A. Code 5-8. Nature Of Action
8 9 0 MISC PAY ADJ 5-C. Code 5-D. Legal Authority
ZLM P . L . 1 0 7 - 12 3 5-E. Code 5-F. Legal Authority
7. FROM: Position Title and Number
UNIT CHIEF (ASSET MANAGEMENT )
4 0 5 3 0 0 0 0 OEN1 0 3 2
1 4. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION DIVIS ION OF ENFORCEMENT OFFICE OF ASSOCIATE DIRECTOR OFFICE OF ASSISTANT DIRECTOR #13
1 - Competitive Service 3 - SES General 2 - Excepted Service 4 - SES Career Reserved
E - ExemptN - Nonexempt
6-C Code 6-D. Legal Authority
6·E. Code 6-F. Legal Authority
1 5. TO: Position Title and Number
UNIT CHIEF (ASSET MANAGEMENT)
4 0 5 3 0 0 0 0 OEN1 0 3 2
SECURITIES AND EXCHANGE COMMISS ION DIVIS ION OF ENFORCEMENT OFFICE OF ASSOCIATE DIRECTOR OFFICE OF ASSISTANT DIRECTOR #13
8 8 8 8 38. Duty Station Code 39. Duty Station (City - County - State or Overseas Location)
WASHINGTON , DISTRICT OF COLUMBIA 1 1 - 0 0 1 0 - 0 0 1
46. Employing Department or Agency 50. Signature/Authentication and Title of Approving Official
SE - SECURITIES AND EXCHANGE JEFFREY A RISINGER
0 1 / 2 0 / 1 1 4 7. Agency Code 48. Personnel Office ID 49. Approval Date ASSOCIATE EXECUTIVE DIRECTOR
SEO O 1 0 5 7 1 1 0 12 0774