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SEC Fed Pay Docs 10/25/2011: Part3

SEC Fed Pay Docs 10/25/2011: Part3

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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
..... J(b)(6)
:
...: •.•.•... :.: ... . :.: .:.: •. :.:.:.: .. . :.:.:.:.:.:.:.:.:.:.:.: ..•.. :.::::.:.: ............•: ..•. :.: .......•..: .... : ....: ...:: .•.:: ..: ..: .•..: ...: ... : ...: •..: •..: •..: •..: •...•...•...•..•..•.•••••.::::.:.:...... ::.:-:-:.:.:-:-: : ...: ... :.:.:.:.:.:.:.:.:.:.:.: tl' ... ·.·:.E ..· .. ..· .•: •. ••·:.h ... : .••...:.:.:.: •.•:lI;.: ••••••••• : •• ••••• :: •••• :.in::·.·.:::.·.:i .U: ...:.: •• :.:.:.:.:.:.:.:::.:.:.: .:...: ...: ...:""" .:.:.:.:.:.WM':.:.:.:.:.:""".:.:.:.:.:""".:.: .:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:-:.:.:•••••:-:.:.:.:•..••:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:......
Mu' U. W.I:. ::::::::::::::;::::::=:: :.:::.:::.:::.:::::.:::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::;:::::::::::::::::::::::::::::::::::;:::::::::::::.:.:.:••••••..
890 'MISC PAY ADJ
5-C. Code 5-0. Legal Authority
ZLM P.L. 107-123
5-E. Code 5-F. Legal Authority
7. FROM: Position Title and Number
ASSOCIATE REGIONAL DIRECTOR
CHIEF OF REGIONAL OFFICE OPERATIONS
01900100 ONY1293
14. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
DIVISION OF ENFORCEMENT
OFFICE OF REGIONAL DIRECTOR (NYRO)
OFF OF ASSOC REG DIR (ENF)
6-A. Code 6-B. Nature of Action
6-C Code 6-0. Legal Authority
6-E. Code 6-F. Legal Authority
15. TO: Position Title and Number
ASSOCIATE REGIONAL DIRECTOR
CHIEF OF REGIONAL OFFICE OPERATIONS
01900100 ONY1293
22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
DIVISION OF ENFORCEMENT
OFFICE OF REGIONAL DIRECTOR (NYRO)
OFF OF ASSOC REG DIR (ENF)
.. .. YORK, ... ............. .. ......................................................................................... .. ..... ... ..
... :((((::.).. ••• :::.:}\\Li/:·····>·.·.·.·.·.:·:····::::··:::: .•••••• ·•:.,::::::/::::::::::://::::::::::::::::L{////>·..···.·: :·.'::::::::::::::::::::::::::::::::::::::::::::::::: :.
24. Tenure for RIF
(
b)(6 1 - None 3 - 10-Point/Disability 5 - 10-Point Other 1 0 - None 2 - Conditional )----,
- __ __ .l.......C1_-...:.P..:.:er.:.cm..:.:an.:.:en:.;.:t_.::.3_-:.;.;Ind=ec..:fin.:.:it:.:.e--L.__ -'-__
23. Veterans Preference
27. FEGLI (b)(6) I 28. Annuitant Indicator 29. Pay Rate Determinant
. (b)(6) I
30. Retirement Plan 31 . Service Comp. Date (Leave) 32. Work Schedule
--------------
l(b)(6) I FULL-TIME
33. Part-Time Hours Per
Biweekly
Pay Period
......................................................... ::::::::::::::::::::::::::::::::::::::::::;:::;: :::::::;;::::;:::;:::::::::::.: .-:.'.:.'.:.'.:.'.:.'.:.'.:.'.:.'.:.'.:.'.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.=".:.=".:.=".:.=".:.=".:.=".:.::.:.::.::.::.::.::.:.::.:.::.:.=".:.=".:.=".:.=".:.=".:.:.:.:.:.: .:.: .. :.::.::::.::.:. ...... .
•.• • •. •••• •• •••••••••••: ••: ••••••••••••••••••••••••••••••••••••• :.:.: :.:.:-:.:.:.:::::::-:-:::::.:::::::::::::::::.:.:.:::.:::.:::-:.:.:::::::::-....:.
34. Position Occupied 36. Appropriation Code 37. Bargaining Unit Status
1 - Competitive Service 3 - SES General
2 - Excepted Service 4 - SES Career Reserved
38. Duty Station Code
40. Agency 0
CLS
45. Remarks

46. Employing Department or Agency
SE - SECURITIES AND EXCHANGE
47. Agency Code 48. Personnel Office 10
SEOO 1057
50. Signature/Authentication and Title of Approving Official
JEFFREY A RISINGER
ASSOCIATE EXECUTIVE DIRECTOR
111077692
y opy
8888
Obtained by Judicial Watch October 3, 2011 through FOIA
Standard Form 60-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
S-A. Code S-B. Nature Of Action 6-A. Code 6-B. Nature of Action
881
(b)(6)
I
Soc . Code 5-0. Legal Authority 6-C Code 6-0 . Legal Authority
DPM 5 U.S.C. CHAPTER 87
5·E. Code 5·F. Legal Authority 6-E. Code 6-F. Legal Authority
7. FROM: Position Title and Number 15. TO: Position Title and Number
ASSOCIATE REGIONAL DIRECTOR (EXAM) ASSOCIATE REGIONAL DIRECTOR (EXAM)
01300000 ONY1243 01300000 ONY1243
8. 1
10
. J
f3. ;;:asis 16;; Plan 1
21
. ;;:asis
12A. Basic Pay
11 $'
I;
1 1;. Other Pay 0
20A. Basic Pay
12$'

12;. Other Pay 0
$185606
14. Name and Location of Position's Organizat ion 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 (NYRO) OFFICE OF REGIONAL DIRECTOR (NYRO)
OFF OF ASSOC REG DIR (BD EXAMS) #2 OFF OF ASSOC REG DIR (BD EXAMS) #2
NEW YORK, NEW YORK NEW YORK, NEW YORK
................. .............. ; ...... ................. ......... ,', ..' .., ..... . ..... ........... ...,.,..............................., ... , ................................................................................. ....
::::::::E 'M' fii:::"":UE':E:::::N::ii::!o!r,:AO:: :.:.:.:.:.:.:.:.:.;.;.:::::::::.:.:...... ... . ....... ....... .... '.:.:.' :.:.:.:.:.:.:.:.:.:.:.:.:::: :::::: :::::::: "':':::: :::::::::::::::::::::::::::::::;:;:;:;:;:;:;:;:;:;:;:::;:;:::;:::::;:;"';:::;:),::-)) ::::::::::::::::::::::::::::::::::::::::::::::::::::.:::.:.: ....................................................:.;.:.:............ :.:.:.:.:.:.:.:::....... .
::.:::::::::::::}}:: :::.::N·.·· .........

1 - None 3 - 10·Point/Disability 5- 10· Point Other . , O· None 2 - conditional, , 1(b)(6) J
2 - 5-Point 4 - 10·Point . :...:Pe:.:.:rm:::a::.ne::.:n::...t ___
trf EEGLI I(b)(6) 28. Annuitant Indicator 29. Pay Rate Determinant
t
b
)(6) Jl'------ --- ---.J (b)(6) IDl
34. Position Occupied
1 - Competitive Service 3- SES General
2 - Excepted Service 4 - SES Career Reserved
38. Duty Station Code
40. Agency 0
CLS
45. Remarks
46. Employing Department or Agency
SE - SECURITIES AND EXCHANGE
47. Agency Code 48. Personnel Office 10
SEOO 1057
37. Bargaining Unit Status
50. Signature/Authentication and Title of Approving Official
JEFFREY A RISINGER
ASSOCIATE EXECUTIVE DIRECTOR
100557570
y opy
8888
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)
5-A. Code 5-B. Nature Of Action
790 REALIGNMENT
5-C. Code 5-0. Legal Authority
UNM REALIGNMENT
5-E. Code 5-F. Legal Authority
7. FROM: Position Title and Number
NOTIFICATION OF PERSONNEL ACTION
2. Social Security Number 3. Date of Birth
6-A. Code 6-B. Nature of Action
6-C Code 6-0. Legal Authority
6-E. Code 6-F. Legal Authority
15. TO: Position Title and Number
ASSOCIATE REGIONAL DIRECTOR (ENF) ASSOCIATE REGIONAL DIRECTOR
01800000 ONY1094 01700000 ONY1094
(ENF)
8. 1
10
. 1 0
113. ;;:asis 16;; Plan Step/Rate 1
21
. ;;:asis
12A. Basic Pay
11;.
11;. Other Pay 0
20A. Basic Pay
12$'
12;. Other Pay
$180920 0
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 (NYRO) OFFICE OF REGIONAL DIRECTOR (NYRO)
OFF OF ASSOC REG DIR (ENF) #1 OFF OF ASSOC REG DIR (ENF) #2
NEW YORK, NEW YORK NEW

NEW YORK
.............. .... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ................
............................................................................................................. , ........... ;.:....: .... " ......... ' ............................ : ...... .

23. Veterans Preference 24. Tenure
3 - 1 O-Point/Disability
4 - 10-Point Compensable
5 - 1 O-Point Other
6 - 10-Point/Compensable/30% 1
0- None
1 - Permanent
2 - Conditional 1---........,
3 - Indefinite
28. Annuitant Indicator 29. Pay Rate Determinant
34. Position Occupied
2
1 - Competitive Service
2 - Excepted Service
38. Duty Station Code
40. Agency D
CLS
45. Remarks
I (b)(6)
46. Employing Department or Agency
3 - SES General
4 - SES Career Reserved
o
33. Part-Time Hours Per
35. FLSA Category 36. Appropriation Code 37. Bargaining Unit Status
(b)(6)
E - Exempt
N - Nonexempt 8888
39. Duty Station (City - County - State or Overseas Location)
NEW YORK, NEW YORK, NEW YORK
RI
50. Signature/Authentication and Title of Approving Official
SE - SECURITIES AND EXCHANGE JEFFREY A RISINGER
47. Agency Code 48. Personnel Office 10
SEOO 1057
ASSOCIATE EXECUTIVE DIRECTOR
101743737
y opy
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)
.......... , ..'., .......................... ' . ...........................................
5-A. Code 5-B. Nature Of Action
894 GEN ADJ
5-C. Code 5-0. Legal Authority
ZLM P.L. 107-123
5-E. Code 5-F. Legal Authority
7. FROM: Position Title and Number
ASSOCIATE REGIONAL
NOTIFICATION OF PERSONNEL ACTION
2. Social Security Number 3. Date of Birth
6-A. Code 6-B. Nature of Action
6-C Code 6-0. Legal Authority
6-E. Code 6-F. Legal Authority
15. TO: Position Title and Number
DIRECTOR (BID) ASSOCIATE REGIONAL DIRECTOR
01400000 ONY1092 01400000 ONY1092
(BID)

113. ;;:asis 16;; Plan 1
2
1.;;:asis
12A. Basic Pay

1 1;. Other Pay 0
20A. Basic Pay
12;.
12;. Other Pay 0
$192900
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 (NYRO) OFFICE OF REGIONAL DIRECTOR (NYRO)
OFF OF ASSOC REG DIR (BD EXAMS) #1 OFF OF ASSOC REG DIR (BD EXAMS) #1
NEW YORK, NEW YORK NEW
.... .. .. ' .. ,.,.,.... , ....... , .... ', .. ,' ..,., ..... '.' .. ........................................................... ..................... ........................................................... . . . . . . . . . . . . . .. ... . ........................ , .... ,
27. FEGLI l(b)(6) 28. Annuitant Indicator 29. Pay Rate Determinant
] (b)(6) (b)(6) I
34. Position Occupied
1 - Competitive Service 3 - SES General
2 - Excepted Service 4 - SES Career Reserved
38. Duty Station Code
40. Agency D
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
47. Agency Code 48. Personnel Office 10
SEOO 1057
AUTHORIZING OFFICIAL
100063303
y opy
o I
37. Bargaining Unit Status
8888
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)
5-A. Code 5-B. Nature Of Action
880 CHG IN TBNURB
5-C. Code 5-0. Legal Authority
KMM RBG 315.202
5-E. Code ' 5-F. Legal Authority
7. FROM: Position Title and Number
NOTIFICATION OF PERSONNEL ACTION
2. Social Security Number 3. Date of Birth
6-A. Code 6-B. Nature of Action
GROUP
6-C Code 6-0. Legal Authority
6-E. Code 6-F. Legal Authority
15. TO: Position Title and Number
DBPUTY CHIBF ACCOUNTANT DBPUTY CHIBF ACCOUNTANT
(ACCOUNTING GROUP) (ACCOUNTING GROUP)
24100000 OCA0123 24100000 OCA0123
8. 110.
113. ;;:asis 16;; Plan
17
0 r' Step/Rate 1
21
. ;;:asis
1 2A. Basic Pay
11$'
11 $' Other Pay
20A. Basic Pay
12;.
Other Pay
$185719 0 0
14. Name and Location of Position's Organization 22. Name and Location of Position's Organization
SBCURITIBS AND BXCHANGB COMMISSION SBCURITIBS AND BXCHANGB COMMISSION
OFFICB OF CHIBF ACCOUNTANT OFFICB OF CHIBF ACCOUNTANT
OFC OF DBP CHIBF ACCT (ACTNG) OFC OF DBP CHIBF ACCT (ACTNG)
... .. .. ... ................., ......................... ....... ' ... ' .'.',',',.,... .. ... ...... . ......... ........ ......... ...... ..... .... . ... ................. , .......
26. Veterans Preference for RIF
I
27. FEGLI l(b)(6) 28. Annuitant Indicator 29. Pay Rate Determinant
. j(b)(6)
o I
34. Position Occupied
1 - Competitive Service 3 - SES General
2 - Excepted Service 4 - SES Career Reserved
38. Duty Station Code
11-0010-001
40. Agencv 0
CLS
45. Remarks
l(b)(6)
46. Employing Department or Agency
33. Part-Time Hours Per
35. FLSA Category 36. Appropriation Code 37. Bargaining Unit Status
(b)(6) E - Exempt
N - Nonexempt 8888
39. Duty Station (City - County - State or Overseas Location)
WASHINGTON,DISTRICT OF COLUMBIA
50. Signature/Authentication and Title of Approving Official
SB - SBCURITIBS AND BXCHANGB JBFFRBY A RISINGBR
47. Agency Code 48. Personnel Office 10
SBOO ' 1057
ASSOCIATB BXBCUTIVB DIRBCTOR
101691771
y opy
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
l(b)(6) I I (b)(6) J

.. .... •. ·.· •... : ...!i"! ::.::·::: •. :' I ··,: 13A .·.·.... :.R.·.·. N:.·:.
I
... : .. ::.: .. :
Jili
:':::':::':::':::,:::,:::,:,:::::::::::,:::::!:::,:::,:::::::::::r:::,:::::::':::::::::: .... H •••••••• :::.... ••••••••••••••• ••••• ............ : .... ................. ..
9.,' :Y.' :::::: ::=::=:: ::::::::::::::.? )'\ ::::::::: : :::::):::::::::::i((:{"
5-A. Code 5-B. Nature Of Action 6-A. Code 6-B. Nature of Action
890 MISC PAY ADJ
5-C. Code 5-0. Legal Authority 6-C Code 6-0. Legal Authority
ZLM P.L. 107-123
5·E. Code 5-F. Legal Authority 6-E. Code 6-F. Legal Authority
7. FROM: Position Title and Number 15. TO: Position Title and Number
DEPUTY CHIEF ACCOUNTANT DEPUTY CHIEF ACCOUNTANT
DEPUTY CHIEF ACCOUNTANT, PPG DEPUTY CHIEF ACCOUNTANT, PPG
24200000 OCA0122 24200000 OCA0122
8. /10.
113. ;;:asis
Plan 17 0 1
18
. b Step/Rate I r' ;;:asis
12A. Basic Pay
11;.
11;. Other Pay
20A. Basic Pay
12;.
Other Pay
$173080 0 0
14. Name and Location of Position's Organization 22. Name·and Location of posiiion's Organization
SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION
OFFICE OF CHIEF ACCOUNTANT OFFICE OF CHIEF ACCOUNTANT
OFC OF DEP CHIEF ACCT (PROF PRAC) OFC OF DEP CHIEF ACCT (PROF PRAC)
WASHINGTON,DC
...
........., ....... , .. ,' ....................
" ..
................................................................ ,.,'.' .... . .................................................' ..,' .., ...............................
23. Veterans Preference
l(b)(6) n
' 27. FEGLI (b)(6)
3 - 1 D-Point/Disability
4 - 1 D-Point Compensable
I (b)(6) II
34. Position Occupied
1 - Competitive Service 3 - SES General
2 - Excepted Service 4 - SES Career Reserved
38. Duty Station Code
11-0010-001
40. Agency D
CLS
45. Remarks

46. Employing Department or Agency
24. Tenure
5 - 1 D-Point Other
6 - 10-Point/Compensable/30% 1
J
28. Annuitant Indicator
(b)(6)
29. Pay Rate Determinant
o I
35. FLSA Category 36. Appropriation Code 37. Bargaining Unit Status
I (b) (6 E - Exempt
N - Nonexempt 8888
39. Duty Station (City - County - State or Overseas Location)
WASHINGTON,DISTRICT OF COLUMBIA
50. Signature/Authentication and Titl e of Approving Official
SE - SECURITIES AND EXCHANGE JEFFREY A RISINGER
47. Agency Code 48. Personnel Office 10
SEOO 1057
ASSOCIATE EXECUTIVE DIRECTOR
110889965
y opy
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
..... .......:.:.:::::.:::.:.:.:... ::::: ;:;:;:;::::::::: .: ..:'::... ::.:'::.:;;: ... ;:... ;:.:; ..:': .... : ... : ...: ... ; ...:'.':'.';'.';'.';' ;:.:;:.:;:;:;:;:;:;:;:;:::;:;:;:;:;:;:;:;:;:;:;::::::: ::.:: :.:;:'.:;:.:;:.:.;.';.':;.:: ;.:: ;.:::.:;: .;:.;:.;;.;:.;:.;:.;:.;:.;:.;:axx:·.· .. ·;:e .......n.: ..·.:.... ·.·.: n.: ..... ::.
XX
.··. A. :;';•. is . :.; J::.. : .... ... ;:.; b: :'Ii; ... ): ..::.;6 .. ; ..n .... ;) ... · .. : ... ; ;.r. .; •• : •• · .; •• ......· :;iii .: ..;.·.·.::.: : ; •.• ; •••; ••••••••••• ;.:.: ••:;••
;:;:n .. ;;.. :U ... ;::::::>:;:::::::: ........... ... :.:.:.:... ;.;.;.;..;.;.;.;.;.;.;.): >}::;: ... p.
5-A. Code 5-B. Nature Of Action 6-A. Code 6-B. Nature of Action
894 GEN ADJ
5-C. Code 5-0. Legal Authority 6-C Code 6-0. Legal Authori\y
ZLM P.L. 107-123
5-E. Code 5-F. Legal Authority 6-E. Code 6-F. Legal Authority
7. FROM: Position Title and Number 15. TO: Position Title and Number
DEPUTY CHIEF ACCOUNTANT (INT'L) DEPUTY CHIEF ACCOUNTANT
24300000 OCA0131 24300000 OCA0131
(INT'L)
8. 110. ;tep/Rate
113. ;;:asis Plan Step/Rate 121. ;;:asis
12A. Basic Pay
11;.
11;. Other Pay
20A. 8asic Pay
12;.
12;. Other Pay
$184647 0 0
14. Name and Location of Position's Organization 22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION
OFFICE OF CHIEF ACCOUNTANT OFFICE OF CHIEF ACCOUNTANT
OFC OF DEP CHIEF ACCT (INTL) OFC OF DEP CHIEF ACCT (INTL)
.... . .............. .................' ............, . , .. , .............. ........ . ....................................................................
23. Veterans Preference 24. Tenure

3 - 1 O-Point/Disability
4 - 1 O-Point Compensable
5 - 1 O-Point Other
6 - 10-Point/Compensable/30% 1
I
0 - None
1 - Permanent


I
28. Annuitant Indicator 29. Pay Rate Determinant
(b)(6)
101
34. Position Occupied
1 - Competitive Service 3 - SES General
2 - Excepted Service 4 - SES Career Reserved
38. Duty Station Code
11-0010-001
40. Agency D
CLS
45. Remarks'
35. FLSA Category 36. Appropriation Code
i , E - Exempt
N - Nonexempt
39. Duty Station (City - County - State or Overseas Location)
WASHINGTON,DISTRICT OF COLUMBIA
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
47. Agency Code 48. Personnel Office 10
SEOO 1057
AUTHORIZING OFFICIAL
100081246
y opy
37. Bargaining Unit Status
8888
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)
5-A. Code 5-B. Nature Of Action
002 CORRECTION
5-C. Code 5-0_ Legal Authority
5-E. Code 5-F. Legal Authority
7. FROM: Position Title and Number
CHIEF ACCOUNTANT
24000000 OCA0087
NOTIFICATION OF PERSONNEL ACTION
3. Date of Birth
6-A. Code 6-B. Nature of Action
880 CHG IN TENURE GROUP
6-C Code 6-0. Legal Authority
KMM REG 315.202
6-E. Code 6-F. Legal Authority
15. TO: Position Title and Number
CHIEF ACCOUNTANT
24000000 OCA0087

113. ;;:asis 1
21
.;;:asis
12A. Basic Pay
11;.
11 $' Other Pay
20A. Basic Pay

1;;C
3

Other Pay
$192988 0 0
14. Name and Location of Position's Organization 22 .. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION
OFFICE OF CHIEF ACCOUNTANT OFFICE OF CHIEF ACCOUNTANT
WASHINGTON,DC
..... .. .......... ..................... ..................................... ...........','.' .................. . .......................... .... ............' ........
23. Veterans Preference
Will§2J] i :
3 - 10-Point/Disabillty
4 - 10-Point Compensable
27. FEGLI I (b)(6)
l (b)(6!.Jl
l I
?A Aoouit::u:\tJndic.atn,,-- ' _ _ _
(b)(6)
o I
34. Position Occupied 35. FLSA Category 36. Appropriation Code 37. Bargaining Unit Status
1 • Competitive Service 3 - SES General i(b)(6fI E - Exempt 8 8 8 8
____ ___ ___ 4_-_S_E_S_C_ar_ee_r_R_es_er_ve_d __ __ __ ________________________________ ______________ ___
38. Duty Station Code 39. Duty Station (City - County - State or Overseas Location)
11-0010-·001
40. Agency D
CLS
45. Remarks
L
46. Employing Department or Agency
SE - SECURITIES AND EXCHANGE
47. Agency Code 48. Personnel Office 10
SEOO 1057
WASHINGTON,DISTRICT OF COLUMBIA
50. Signature/Authentication and Title of Approving Official
JEFFREY A RISINGER
ASSOCIATE EXECUTIVE DIRECTOR
110577162
y opy
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 oi Birth
l(b)(6) I l(b)(6)

5-A. Code 5-B. Nature Of Action 6-A. Code 6-B. Nature of Action
890 MISC PAY ADJ
5-C. Code 5-0. legal Authority
ZLM P.L. 107-123
5-E. Code 5-F. legal Authority
7. FROM: Position Title and Number
CHIEF COUNSEL, OCA
24001000 OCA0212
14. Name and location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
OFFICE OF CHIEF ACCOUNTANT
OFC OF RULEMAKING & CHIEF COUNSEL
6-C Code 6-0. legal Authority
6-E. Code 6-F. legal Authority
15. TO: Position Title and Number
CHIEF COUNSEL, OCA
24001000 OCA0212
22. Name and location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
OFFICE OF CHIEF ACCOUNTANT
OFC OF RULEMAKING & CHIEF COUNSEL
.......... ............. ... ......... .
.
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UK::I::M ::::::::::::::::::::::::::::::::::::?:::::.................................. ::::::::::::::::: ::::::::::::::::::::::::;:::;:::::::::;:::::::::::::::::::::::::::::::::.:-:........ . ................. .;.;.:.:.:.:.:.;.;::::::::::::::::::::::::::::::;:::::::::::::::::::::.:.:........ . ........................................................................................................
23. Veterans Preference Tenure 26. Veterans Preference for RIF
34. Position Occupied
3 - 10-Point/Disability
O.£olnLC_O.ID.O_ensable
1 - Competitive Service 3 - SES General
2 - Excepted Service '4 - SES Career Reserved
38. Duty Station Code
40. Agency D
CLS
45_ Remarks
' (b)(6)
46. Employing Department or Agency
SE - SECURITIES
47. Agency Code 48. Personnel Office 10
SEOO 1057
5 - 1 O-Point Other
6 - 10-Point/Compensable/300/0 1
0 - None 2 - Conditional 'l(b)(6)
1 - Permanent 3 - Indefinite __ L
28. Annuitant Indicator

36. Appropriation Code
29. Pay Rate Determinant
o
33. Part-Time Hours Per
Biweekl y
.. ..
37. Bargaining Unit Status
8888
39. Duty Station (City - County - State or Overseas location)
50. Signature/Authentication and Title of Approving Official
JEFFREY A RISINGER
ASSOCIATE EXECUTIVE DIRECTOR
100875854
y opy
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
:::::::,,:::,,::::::::,::::,::::,:::.::::.:::::,::::,:::.:::::' :.:.:.:.:.:.:.:.:.::::::.•: •. ::•.•:. :: .•: •.•: •.•: •. ::•.• : •.• : •...• :.:.:.:.:.:.:.:.:.:.:.:.:.:::.:.:.:.:.:. ·:::::,:::::,::::::::::,:::::,::: ::,::, ::,:::::,:: :::,::::::: axx . . ·.·... e .....n:.·.:..: .• ...·.fi;.:·: .. ..)."" .( ....:.:: ... ).-·.:::T'::':"::::-"::n ... ::.--' ...fi': ...l.::::::::::,:: :: e:(6)
::::::::n. ::. :::::::::::::::::::::::::::::::::}}::::::::::::::::::::::::::::::::: w.':!!f :::::::::::::::::::::::::::::::::::::::::::::::::::::::-:-:-:.:........ .
5-A. Code 5-B. Nature Of Action 6-A. Code 6-B. Nature of Action
002 CORRECTION
5-C. Code 5-0. Legal Authority
5-E. Code 5-F. Legal Authority
7, FROM: Position Title and Number
DEPUTY DIRECTOR
50000000 OCI0251
14. Name and Location of Position's Organization
890 MISC PAY ADJ
6-C Code 6-0. Legal Authority
ZLM P.L. 107-123
6-E. Code 6-F. Legal Authority
15. TO: Position Title and Number
DEPUTY DIRECTOR
50000000 OCI0251
22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
OFFICE OF COMPLIANCE INSPECTIONS & EX
SECURITIES AND EXCHANGE COMMISSION
OFFICE OF COMPLIANCE INSPECTIONS & EX
23. Veterans Preference 26. Veterans Preference for RIF
_
__ • ..:.1..::.0. ..:..p..:.;oi..:.nt..:./D:..:is;..:.;ab!:,;il..:.ity=:.::----=.5_ • ..:..10r-.:....:po"'in:.::t..::.0..:.;th"'er=:=:.:::..::..::..:..:..._f-_-.J---'0_ • .:...N::.on;..:.;e=:.:.::.---=2_ • .::.C= 0n::.d",iti:.:;on:....a...J1 ___ +- (b_)_(6_) __ . ___
4- 1 O·Point Compensable 6 • 10·Point/Compensable/30% 1 • Permanent 3 • Indefinite . . _ I
I 28. Annuitant Indicator 29. Pay Rate Determinant
34. Position Occupied
1 • Competitive Service 3- SES General
2 • Excepted Service 4 • SES Career Reserved
38. Duty Station Code
36-4170-061
40. Agencv 0
CLS
45. Remarks
L
46. Employing Department or Agency
(b)(6)
33. Part·Time Hours Per
Biweekly
35. FLSA Category 36. Appropriation Code 37. Bargaining Unit Status
E· Exempt
N • Nonexempt 8888
39. Duty Station (City· County· State.or Overseas Location)
NEW YORK, NEW YORK, NEW YORK
50. Signature/Authentication and Title of Approving Official
SE - SECURITIES AND EXCHANGE JEFFREY A RISINGER
47. Agency Code 48. Personnel Office 10
SEOO 1057
ASSOCIATE EXECUTIVE DIRECTOR
110565012
y opy
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) 3_ Date of Birth
2_ Social Security __ -----,
.... :·cc:·:·:·:·:·:
5-A. Code Ac_tLQn
(b)(6)
I
881
5-C_ Code 5-0 _ Legal Authority
DPM 5 U.S.C. CHAPTER 87
5-E. Code 5-F _ Legal Authority
7. FROM: Position Title and Number
DIRECTOR, OFF OF COMPL INSP & EXAMS
50000000 OCI0001
14_ Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
OFFICE OF COMPLIANCE INSPECTIONS & EX
6-A. Code 6-B. Nature of Action
6-C Code 6-0. Legal Authority
6-E_ Code 6-F _ Legal Authority
15. TO: Position Title and Number
DIRECTOR, OFF OF COMPL INSP & EXAMS
50000000 OCI0001
22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
OFFICE OF COMPLIANCE INSPECTIONS & EX
26_ Veterans Preference for RIF
(b)(6)
27_ FEGLI (b)(6) I 28. Annuitant Indicator
T(b) -n"-----------------' '(b)(6) I
29. Pay Rate Determinant
IOl
34_ Position Occupied
2
1 - Competitive Service 3 - SES General
2 - Excepted Service 4 - SES Career Reserved
38. Duty Station Code
40. Agency 0
CLS
45. Remarks
46. Employing Department or Agency
35_ FLSA Category
SE - SECURITIES AND EXCHANGE
47. Agency Code 48. Personnel Office 10
SEOO 1057
36_ Appropriation Code 37 _ Bargaining Unit Status
50. Signature/Authentication and Title of Approving Official
JEFFREY A RISINGER
ASSOCIATE EXECUTIVE DIRECTOR
100559875
y opy
8888
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) 3. Date of Birth
5-A. Code 6-B. Nature Of Action 6-A. Code 6-B. Nature of Action
302 RETIREMENT-VOLUNTARY
5-C. Code 5-0. Legal Authority 6-C Code 6-0. Legal Authority
SQM 5 U.S.C. 8336
5-E. Code 5-F. Legal Authority 6-E. Code 6-F. Legal Authority
7. FROM: Position Title and Number 15. TO: Position Title and Number
ASSOC DIRECTOR {IA/IC EXAMINATIONS}
50300000 OCIOO05
s. Pay Plan I 9. Occ. Code 1.10. GradelLevel 111. Step/Rate \12. Total Salary
SO 1160 02 00 $230700
\13. ;;:asis
16.Pay Plan 17. Occ. Code rs, GradelLevel 119. Step/Rate 120"'Total Salary/Award 121. Pay Basis
12A. Basic Pay

1$
Other Pay
20A. Basic Pay 120B. Locality Adj . 1.20C. Adj. Basic Pay 1200. Other Pay
$191021 0
14. Name and Location of Position's Organization 22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
OFFICE OF COMPLIANCE INSPECTIONS & EX
OFFICE OF IA/IC EXAMINATIONS
.... ........................ .......... ......... ......, ............................................., ...... ........... ......... .. , ..... ............................................................. . .................... ............. . ' . . ........ . .................................. .................... .. ..... ......................................... '

. ..................., ..... . ............................................
... .. .. .....·
23. Veterans Preference 24. Tenure 26. Veterans Preference for RIF
(b)(6)
5 - 10-Point Other 0 - None 2 - Conditional 1---.
__ '-1'--..;,p:.:::e..:.rm.:.;:a:;,.;ne.:.;n..:.t_.::.3_-..:.ln:.:::de.:.;f..:.in:.:::ite'--'-__ '-__ -'-r--::-:-,----c:_--::--____ --.J
28. Annuitant Indicator 29. Pay Rate Determinant
i(b)(6) I
ULL-TIME
o
33. Part-Time Hours Per
Biweekly
34. Position Occupied 36. Appropriation Code 37. Bargaining Unit Status
1 - Competitive Service 3 - SES General
2 - Excepted Service 4 - SES Career Reserved
3S. Duty Station Code
11-0010-001
40. AgencyD
CLS
45. Remarks
i(b)(6)
L
46. Employing Department or Agency
SE - SECURITIES
47. Agancy Code 4S. Personnel Office 10
SEOO 1057
60. Signature/Authentication and Title of Approving Official
JEFFREY A RIp INGER
ASSOCIATE EXECUTIVE DIRECTOR
110586424
y opy
8888
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)
5-A. Code 5-B. Nature Of Action
170 EXC APPT
5-C. Code 5-0. Legal Authority
WDM SCH A 213.3102(D)
5-E. Code 5-F. Legal Authority
7. FROM: Position Title and Number
8. Pay Planl9. Occ. Code 110. Grade/Level 111. Step/Rate 112. Total Salary 113. Pay Basis
12A. Basic Pay J 12B. Locality Adj. 112C. Adj . Basic Pay 1120. Other Pay
14, Name and Location of Position's Organization
................... .... . ,"', ..... .... "., ....' ..
23. Veterans Preference
1 - None
2 - 5-Point
"", . ....................... . .................
3 - 10-Point/Disability
4 - 10-Point Compensable
27. FEGLI [0)(6)
l (b)(6) , ---------
34. Position Occupied
1 - Competitive Service 3 - SES General
2 - Excepted Service 4 - SES Career Reserved
-
5 - 1 O-Point Other
6 - 10-Point/Compensable/30%
35. FLSA Category
(b)(6) E - Exempt
N - Nonexempt
2. Social Security Number 3. Date of Birth
6-A. Code 6-B. Nature of Action
6-C Code 6-0. Legal Authority
6-E. Code 6-F. Legal Authority
15. TO: Position Title and Number
SUPERVISORY ATTORNEY-ADVISOR
ASSOCIATE DIRECTOR (BD EXAMINATIONS)
50100000 OCI0256
Plan Step/Rate 121. ;;:asis
20A. Basic Pay
r;'
J;;C
3

12;. Other Pay
0
22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
OFFICE OF COMPLIANCE INSPECTIONS & EX
OFFICE OF BD/SRO EXAMINATIONS
.. ..
24. Tenure
2 :
_?8 __ Aoouitaot-'.odicatocr _ ___ _
(b)(6)
29. Pay Rate Determinant
o
36. Appropriation Code 37. Bargaining Unit Status
8888
38. Duty Station Code 39. Duty Station (City - County - State or Overseas Location)
36-4170-061
40. Agency D
CLS
45...Bemarks
(b)(6)
L
46. Employing Department or Agency
SE - SECURITIES AND EXCHANGE
47. Agency Code 48. Personnel Office 10
SEOO 1057
NEW YORK,NEW YORK,NEW YORK
50. Signature/Authentication and Title of Approving Official
JEFFREY A RISINGER
ASSOCIATE EXECUTIVE DIRECTOR
102324350
y opy
Obtained by Judicial Watch October 3, 2011 through FOIA
Standard Form 50·8
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
l(b)(6) I I

5·A. Code 5·B. Nature Of Action 6·A. Code 6-B. Nature of Action
894 GEN ADJ
5-C.Code S·D. legal Authority 6·C Code 6·0. legal Authority
ZLM P.L. 107-123
5·E. Code S·F. legal Authority 6·E. Code 6-F. legal Authority
7. FROM: Position Title and Number 15. TO: Position Title and Number
ASSOCIATE DIRECTOR (CHIEF COUNSEL) ASSOCIATE DIRECTOR (CHIEF COUNSEL)
50200000 OCI0111 50200000 OCI0111
14. Name and location of Position's Organization 22. Name and location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
OFFICE OF COMPLIANCE INSPECTIONS & EX
OFFICE OF CHIEF COUNSEL
SECURITIES AND EXCHANGE COMMISSION
OFFICE OF COMPLIANCE INSPECTIONS & EX
OFFICE OF CHIEF COUNSEL
.... ........................... ........... ............... ............ ........... ..... ... .
.::::::::;:;:;::...;:):.)))):::::\:::::::::.::::::::: ...
23. Veterans Preference 24. Tenure 25. Agency Use 26. Veterans Preference for RIF
r(OJ(Ofn ..21 . _ _ 5 -10·Point Other r--:;----,1 0 - None 2 - Conditional I I l(b)(6)
4 - 10-Point Compensable 6 - 10-Point/Compensab)e/30% I J. I 1 - Permanent 3 -Indefinite
27. FEGll J 28. Annuitant Indicator 29. Pay Rate Determinant
l (b)(6) l ------ (b)(6) IDl
34. Position Occupied
2
1 • Competitive Service
2 • Excepted Service
38. Duty Station Code
11-0010-001
40. Agency D
CLS
45. Remarks
3 - SES General
4 - SES Career Reserved
35. FlSA Category
I/b"6 E - Exempt
N - Nonexempt
36. Appropriation Code
39. Duty Station (City· County· State or Overseas location)
WASHINGTON, DISTRICT OF COLUMBIA
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
47. Agency Code 48. Personnel Office 10
SEOO 1057
AUTHORIZING OFFICIAL
100073126
y opy
37. Bargaining Unit Status
8888
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)
.... . ... ... ............ ...... ' ......... .. ... ' .............................................
5-A. Code 5-B. Nature Of Action
002 CORRECTION
5-C. Code 5-0. Legal Authority
5-E. Code 5-F. Legal Authority
.....................' .' .' ... .........
7. FROM: Position Title and Number
EXECUTIVE DIRECTOR
26000000 OED0667
NOTIFICATION OF PERSONNEL ACTION
6-A. Code 6-B. Nature of Action
894 GEN ADJ
6-C Code 6-0. Legal Authority
ZLM P.L. 107-123
6-E. Code 6-F. Legal Authority
15. TO: Position Title and Number
EXECUTIVE DIRECTOR
26000000 OED0667

113. ;;:asis Plan 17 0 1
18
. Step/Rate 121. ;;:asis
12A. Basic Pay

11;. Other Pay
20A. Basic Pay
r;'

12;. Other Pay
$190136 0 $192988 0
14. Name and Location of Position's Organization 22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION
OFFICE OF THE EXECUTIVE DIRECTOR OFFICE OF THE EXECUTIVE DIRECTOR
.... ... . . . . . .. ........• .. ",."", .................
..
:::::::: .: .. ::::::::::::::::::::::::::::::::: :':':':':':':':':-:-:-:"':-:':':':"';':':-:':':':':-::;':::-:::::.;.:-:::::::::::.:::::::::::::::::::::::::::::.:.:. ::::::::::::::::::::::::::::::::;::::::: . . ......... , ... ,......... . ... .
23. Veterans Preference 24. Tenure 25. Agency
::::::::e·:M" ·ftt::':j\:v.i:::i!i:::::t.!Iii::R::!!!r.,:A:,:::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::: .. :.:.::'.;:::::.:::.:::::.:.::,:.. :,:",,:,:;,,:::::::::::,:;,:"", ,:,:,:,:,::.:.:,....... ",:,::,:" :::::::::,....... :.;.;.;.:.;.:::.:.:.;::.;.:::::.:.:.:: ::.::::.::::.::::.::::.::::.::.: ..::::.:: ..... ::::.::::.::::.::::.::::.::::.::::.::::.::::.::::.::::.::::.:.::. :·::.:·::.:·::.:·::.::::.:·h::.:·::.:·:: .: ·::.:·::.:.::.:.::.:.::.:.::.:.::.:.::.:.::.:.::.:.::.:.::.:.::;.:.:::.:::.::.:.::.:.::.:.::.:.::.:.::: •. : •• : •••••• :.::.:. :.: •••:.:.:.:.:.: •••:.:,;::::,;:::::::",:::::::.: ••• " ••••••
i(b)(6)h 1 - None 3 - 10-Point/Disability 5 - 10-Point Other I 0 - None 2 - Conditional i(b)(6)
I 2 - 5-Polnt 4 -10-Point Compensable 6 -1 0-Point/Compensable/30% 1 1 - Permanent 3 -Indefinite
29. Pay Rate Determinant
o I
27. FEGLI l(b)(6) I 28. Annuitant Indicator
. (b)(6)
30. Retirement Plan I 31. Service Camp. Date ""-eave) 32. Work Schedule 33. Part-Time Hours Per
••••••• .... :::.:.:.::: ... : ..... : ..... :.: ....... ) ....
34. Position Occupied
1 - Competitive Service 3 - SES General
2 - Excepted Service 4 - SES Career Reserved
38. Duty Station Code
11-0010-001
40. Agency D
CLS
45. Remarks
i(b)(6)
46. Employing Department or Agency
35. FLSA Category 36. Appropriation Code 37. Bargaining Unit Status
(
b)(6) I E- Exempt
N - Nonexempt 8888
39. Duty Station (City - County - State or Overseas Location)
50. Signature/Authentication and Title of Approving Official
SE - SECURITIES AND EXCHANGE JEFFREY A RISINGER
47. Agency Code 48. Personnel Office 10
SEOO 1057
ASSOCIATE EXECUTIVE DIRECTOR
110648325
y opy
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)
5-A. Code 5-B. Nature Of Action
894 GEN ADJ
5-C. Code 5-D. Legal Authority
ZLM P.L. 107-123
5-E. Code 5-F. Legal Authority
7. FROM: Position Title and Number
SENIOR ADVISOR
26000000 OED0305
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
15. TO: Position Title and Number
SENIOR ADVISOR
26000000 OED0305
8. 110.
113. ;;:asis 1
21
.;;:asis
12A. Basic Pay
11;.
I;
11;. Other Pay
20A. Basic Pay
12;.
12;. Other Pay
$188198 0 0
14. Name and Location of Position's Organization 22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION
OFFICE OF THE EXECUTIVE DIRECTOR OFFICE OF THE EXECUTIVE DIRECTOR
WASHINGTON,DC WASHINGTON,DC
...................., .................................,', ...................... .......... ..........................................................., .. ' ................. ...... . . ..........................' ....................................................................... ,' .....
23. Veterans Preference
- (b) iii 1 -
..Lsi........LJ 2 - 5-Pomt
3 - 10-Point/Disability
4 - 10-Point Compensable
5 - 10-Point Other
6 - 10-Point/Compensable/300/0
27. FEGLI (b)(6)
Will§}] I
28. Annuitant Indicator 29. Pay Rate Determinant
34. Position Occupied
1 - Competitive Service 3 - SES General
2 - Excepted Service 4 - SES Career Reserved
38. Duty Station Code
11-0010-001
40, Agency D
CLS
45. Remarks
(b)(6) I
35. FLSA Category 36. Appropriation Code
[thlt'" E - Exempt
N - Nonexempt
39. Duty Station (City - County - State or Overseas Location)
WASHINGTON,DISTRICT OF COLUMBIA
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
47. Agency Code 48. Personnel Office ID
SEOO i057
AUTHORIZING OFFICIAL
100083303
y opy
o I
37. Bargaining Unit Status
8888
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)
317 RESIGNATION
S·C. Code S·D. Legal Authority
RPM REG 715.202
5·E. Code 5·F. Legal Authority
7. FROM: Position Title and Number
GENERAL COUNSEL
27000000 OGC0189
14. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
OFFICE OF GENERAL COUNSEL
2. Social Security Number 3. Date of Binh
6·C Code 6·0. Legal Authority
6·E. Code 6·F. Legal Authority
15. TO: Position Title and Number
22. Name and Location of Position's Organization
..,,,J> ... ' • ...,.n. p,.on./. 31 . Service Compo Date (Leave) 32. Work·Schedule 33. Pan·Time Hours Per
l;:;::;:UJ]Q.,)QAT8.::/?mmmIr
l
:::::::::::::::::::}:...: .• .:{<}: ..
34. Position Occupied 35. FLSA Category
2
1 • Competitive Service
2 • Excepted Service
3 • SES General
4 - SES Career Reserved
38. Duty Station Code
11-0010-001
40. Agency ....... u ... '-
CLS 00
45. Remarks
I (b)(6)
46. Employing Oepanment or Agency
SE - SECURITIES AND EXCHANGE
47, Agency Code 48. Personnel Office 10
SEOO 1057
36. Appropriation Code 37. Bargaining Unit Status
50. Signature/Authentication and Title of Approving Official
JEFFREY A RISINGER
ASSOCIATE EXECUTIVE DIRECTOR
110252978
y opy
8888
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 3. Date of Birth
J (b)(6) I i (b)(6)

....: ... :ILAS.ft ... :.·.b..· : .. .. .. .;.;.:.:.:.:.:.:.:.:.:.;.:.:.:.:.:........ . ............................... :.:.:.:.:. ·· .. :':':':":'. . .... ______________ .........'+o.! ..
09.,. mS!!::J", w. :.' . •. ,: ) ... ::::::::::: .......... '.' ....... .. .. .... ... . ... .
5-A. Code 5-B. Nature Of Action 6-A. Code 6-B. Nature of Action
890 MISC PAY ADJ
5-C. Code 5-0. Legal Authority
ZLM P.L. 107-123
5-E. Code 5-F. Legal Authority
7_ FROM: Position Title and Number
ASSOC GEN COUNSEL (LEGAL POLICY)
27200000 OCG-198
14. Name and Location of POSition's Organization
SECURITIES AND EXCHANGE COMMISSION
OFFICE OF GENERAL COUNSEL
OFF OF ASSOC GEN CNSL (LEGAL PLCY)
23. Veterans Preference
1 - None 3 - 10-Point/Disability
2 - 5-Point 4 - 1 O-Poin! Compensable
27. FEGLI (b)(6)
i(b)(6
6-C Code 6-0. Legal Authority
6-E. Code 6-F. Legal Authority
15. TO: Position Title and Number
ASSOC GEN COUNSEL (LEGAL POLICY)
27200000 OCG-198
22. Name and location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
OFFICE OF GENERAL COUNSEL
OFF OF ASSOC GEN CNSL (LEGAL PLCY)
FULL-TIME
33. Part-Time Hours Per
Biweekly
Pay Period

PI.n Compo Date (LelaVe) 32. Work Schedule
.. U.:.':....5 .. · .".1 .. .. .. U.·.,:.... ... .. ,:.:..:.#1 ... : ....':.'1 .. ...... :.:'.':'.';:.::.::.:.::: .::.::.::.::::. :.::.::.::. :.::.:.':.::.::.::.::".": ..::.::.'.'.:'.:".:'. ....... .
...................................................... ..............................................................................: ....... .
34. Position Occupied 35. FLSA Category 36. Appropriation Code 37. Bargaining Unit Status
2
1 - Competitive Service 3 - SES General (b)(6)I E - Exempt 8 8 8 8
____ __ ___ ______________________________________ ____ ____ ___
38. Duty Station Code 39. Duty Station (City - County - State or Overseas Location)
40. Agency 0
CLS

(b)(6)
L
46. Employing Department or Agency
SE - SECURITIES AND EXCHANGE
47. Agency Code 48. Personnel Office 10
SEOO 1057
]
50. Signature/Authentication and Title of Approving Official
JEFFREY A RISINGER
ASSOCIATE EXECUTIVE DIRECTOR
110989998
y opy
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)
5-A. Code 5-B. Nature Of Action
721 REASSIGNMENT
5-C. Code 5-0. Legal Authority
NOTIFICATION OF PERSONNEL ACTION
2. Social Security Number 3. Date of Birth
6-A. Code 6-B. Nature of Action
6-C Code 6-0. Legal Authority
WDM SCH A 213.3102(D)
5-E. Code 5-F. Legal Authority 6-E. Code 6-F. Legal Authority
7. FROM: Position Title and Number 15. TO: Position Title and Number
DEPUTY GENERAL COUNSEL GENERAL COUNSEL
27000000 OGC0298 27000000 OGC0189
8. Pay Planl9. Occ. Code 110. Grade/Level 111. Step/Rate 112. Total Salary
SO 0905 02 00 . $230700
r3. ;;:asis 16;; Plan Step/Rate 121. ;;:asis
12A. Basic Pay
;C
3

11;. Other Pay
20A. Basic Pay
12;. 1;;C
3

12;. Other Pay
$187417 0 0
14. Name and Location of Position's Organization 22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION
OFFICE OF GENERAL COUNSEL OFFICE OF GENERAL COUNSEL
.... ..
WASHINGTON, DC
........................................................................................ ............................................................................... . ...............
23. Veterans Preference

1 - None 3 -10-Point/Disability 5 -10-Point Other
'----_ --' 4<-e-C-' 1-" Ol-P"' oi"' nt'-' C""'-' o'mQensable 6 - 10-Point/Compensable/300/0
27. FEGLI l(b)(6) J

'(b)(6)
29. Pay Rate Determinant

o I
34. Position Occupied 35. FLSA Category 36. Appropriation Code 37. Bargaining Unit Status
1 - Competitive Service 3 - SES General I(b) I E - Exempt
__ ---' __ 2_-_E_xc_e'-pt_ed_S_e_rv_ic_e __ N - Nonexempt
38. Duty Station Code 39. Duty Station (City - County - State or Overseas Location)
40. Agency D
CLS
45. Remarks
46. Employing Department or Agency
SE - SECURITIES AND EXCHANGE
47. Agency Code 48. Personnel Office 10
SEOO 1057
WASHINGTON,DISTRICT OF COLUMBIA
50. Signature/Authentication and Title of Approving Official
JEFFREY A RISINGER
ASSOCIATE EXECUTIVE DIRECTOR
110252995
y opy
8888
Obtained by Judicial Watch October 3, 2011 through FOIA
Standard Form 50-8
Rev. 7/91
U.S. Office of Personnel Management
FPM Supp. 296-33, Subch. 4
1. Name (Last, First, Middlel
NOTIFICATION OF PERSONNEL ACTION
2. Social Security Number 3. Date of_B_irt _h _ _

.... .... ............ '.'.' . . ' ......... ............................. .................. .............. . .......... ..............................
5-A. Code 5-B. Nature Of Action 6-A. Code 6-8. Nature of Action
894 GEN ADJ
5-C. Code 5-0. Legal Authority 6-C Code 6-0. Legal Authority
ZLM P.L. 107-123
5-E. Code 5-F. Legal Authority 6-E. Code 6-F. Legal Authority
7. FROM: Position Title and Number 15. TO: Position Title and Number
ASSOC. GEN. COUNSEL (LIT/ADM PRAC) ASSOC. GEN. COUNSEL (LIT/ADM PRAC)
27130000 OGC0197 27130000 OGC0197
S. 10. ;tep/Rate

16.Pay Plan 17. Occ. Code rs, Grade/Level Step/Rate roo Total Salary/Award 121 . Pay Basis
SO 0905 02 0 $230700 PA
12A. Basic Pay

I;
1
1
$' Other Pay 0
20A. Basic Pay
12;.
/2;. Other Pay
$192116 0
14. Name and Location of Position's Organization 22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION
OFFICE OF GENERAL COUNSEL OFFICE OF GENERAL COUNSEL
OFF/DEPUTY GEN COUNSEL (SOLICITOR) OFF/DEPUTY GEN COUNSEL (SOLICITOR)
O/ASSOC GC (LIT & ADMIN PRAC) O/ASSOC GC (LIT & ADMIN PRAC)
WASHINGTON, DC
..................... ....... .................. . ..... , ..... ........... , ............................
........:.:.:.:....:}:::::::::: •••••••••••••••••••••••••••••••••••••••••• :.:.:•••• ::::::::::::::::::::... -:-:-:-:.:-:.::::: :::.:./::::.:.:........ )():\\(\ ..........................:.:-:.:.:-:.:.:-:-::::::::::::::::.:.::.:.:.......................................................:.:.:.:.:.::::::::::::::::::::::::::::::::.::.:-:...... .
:.:.:.:.:.:.:.:.:.:.:-: ·········:···:·:·:·:::::::::::;ZTeoure •••••••••••••••••••: ••••••••••• ::'::•••:::..........,........
I(
b)(6) J 1 - None 3 -10-Point/Disability 5 -10-Point Other 1 I 0 - None 2 - Conditional I I (b)(6) I
I' ___ 6_- -,10,--p...:.o_in.;;...t/C,-,0_m.!..pe_o_sa __ bl..;.;e/..:..30,-, %..c.--+::-::--:---L..._ 1--:--p_e::- rm....;a_ne_o-,-t_3_-_ln...:.d-'-ef_in__ ite---l __ --'-__ ---'r::-:::-=----::_=-----: __ --'-
27. FEGLI l(b)(6) I 2S. Annuitant Indicator 29. Pay Rate Determinant
23. Veterans Preference
- - --- -----'. (b)(6) IOl
34. Position Occupied
1 - Competitive Service 3 - SES General
2 - Excepted Service 4 - SES Career Reserved
3S. Duty Station Code
11-0010-001
40. Agency D
CLS
45. Remarks
35_ FLSA Category 36. Appropriation Code
(b)(6) E - Exempt
N - Nonexempt
39. Duty Station (City - County - State or Overseas Location)
WASHINGTON, DISTRICT OF COLUMBIA
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
47. Agency Code 4S. Personnel ' Office 10
SEOO 1057
AUTHORIZING OFFICIAL
100072163
y opy
37. Bargaining Unit Status
8888
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
LEVINE, RICHARD A . .... ...... ... H f
b
)(6) -.J
...........:.:.. : ... :.: ... :-:-:-.. :.:...:-:.:.:.:.:-:.:.:.:.:-:.:.:.:.: :::::::::::::::::::: :::::::""""""", ':':':':':':':':":::::::: ·····......················S· .. ......
tM Qr.::::::::::::::ttt:i::i:::: i:::::i::::::::i))/::·:··..-:-:·-::::::::::-:-:· )ti)i: .. • .::... .. Q,r;' :::,::"""" ::::::":":::::::::::::: ...
5-A. Code 5-B. Nature Of Action 6-A. Code 6-B. Nature of Action
890 MISC PAY ADJ
5-C. Code 5-0. Legal Authority 6-C Code 6·0. Legal Authority
ZLM P.L. 107-123
5·E. Code 5-F. Legal Authority 6·E. Code 6-F. Legal Authority
7. FROM: Position Title and Number 15. TO: Position Title and Number
ASSOCIATE GENERAL COUNSEL ASSOCIATE GENERAL COUNSEL
27300000 OGC1027 27300000 OGC1027

113. 16;; Plan Step/Rate 1
21
.
12A. Basic Pay
11;.
/1;. Other Pay
20A. Basic Pay
12;. 1;;C
3

12$" Other Pay
$177401 0 0
14. Name and Location of Position's Organization 22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION
OFFICE OF GENERAL COUNSEL OFFICE OF GENERAL COUNSEL
OFF ASSOC GC (LEGAL POLICY II) OFF ASSOC GC (LEGAL POLICY II)
...
WASHINGTON,DC
..................................................................,',................. "',' ',',',', .'.'.','.'.',',' .... . ............................................ ......... ... .................... ............ ' ................... . ................................
.
:
':'.:':'.:':'.·:::,E ..:·.::M. : ..:.:....ft .. :.:.:.:: •.. '.,::",:J!\ .. . ::::...·. ,u: .. : .. ·.·: .. ..... ... :.,:,.,:,N.:: ... ·,:ii;; .. ::.:::::A .. ::'::' .............. : ... :.:.:.:.:.:.:.:.:.:.:-:-:...:.:.:: :::::,::-:.:........ :.:.:.:.:.:.:.:-:.:.:.:.:.:.:.:.:-:.:.:-:. . .... ... ..:.. :.:. . :.:.:.:.:.:.:.:-:.:.:.:.:.:....................................................... :.:.:...:.:.:.:-:.:-:.::::::::::::::,: :::::::::::::::::::::::::::::::::::::::::::::::::,::::::.: :'.':'.':'.':'.':'.':':.. ::.':'.' .•. :.':'.':'.':'.':'.':'.':'.':'.':'.':'.':'.':'.':'.': '.':'.':'.':'.' :'.'.::. ' .. . :.'.'.' ,',.',.',.',',::::,: ,::::::::-:-:.....
" •• '1
27. FEGLI I (b)(it::6f) -A-nn..Ju-ita":'n-tl:-'nd=ic:'::a=to=r:.::---=--.::.:=::::.:::........JL-----1----l-=2:-:c
9
-. P=- a-y-=- R-at-e -=- Determinant
L. (b)(6) 0 I
33. Part-Time Hours Per 30. Retirement Plan _________ L 31. Service Compo Date (Leave) 32. Work Schedule
., . ::::::::::::::::::::::......................................... . .... :: ... .. ::::':':':"':"""""""::"""""""""""""::::::::::::::::::::::::' .'.:.'.:.'.:.'.:.'.:.'.:.'.:.'.:.'. :.'.:. '.:.'.:.' .:.'.:.,.:.,.:.,.:.,.:.,.:.,.:.,.:.•.• ' .•. : .•. : .•. : .•. : .•. : .• :.:.,. a.i.W .•. y .•. :.::. e.p ... ....... .
:"""'.::':W:. : .. : .. ':':':':':':"""::::::::::::""" "'::::::::::::"" ...........................:.:.:.:.:.:.:.:-:.:.:.:.:.:.:.:.:.:.:.:-:.:.:-:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:-:.:.:.:.:.:.:.:.:.:.:.:.'. ':::':':':':':':':':':':':':':::':':;:::':':::::::::::::""::::::,:",:,:,::::::
34. Position Occupied
1 - Competitive Service 3 - SES General
2 - Excepted Service 4 - SES Career Reserved
38. Duty Station Code
11-0010-001
40. Agency 0
CLS
45. Remarks
46. Employing Department or Agency
35. FLSA Category 36. Appropriation Code 37. Bargaining Unit Status
8888
39. Duty Station (City - County - State or Overseas Location)
WASHINGTON,DISTRICT OF COLUMBIA
50. Signature/Authentication and Title of Approving Official
SE - SECURITIES AND EXCHANGE JEFFREY A RISINGER
47. Agency Code 48. Personnel Office 10
SEOO 1057
ASSOCIATE EXECUTIVE DIRECTOR
110758630
y opy
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)
894 GEN ADJ
5-C. Code 5-0. Legal Authority
ZLM P.L. 107-123
5-E. Code 5-F. Legal Authority
7. FROM: Position Title and Number
ASSOC GENERAL COUNSEL (ADJUDICATION)
27010000 OGC0222
14. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
OFFICE OF GENERAL COUNSEL
ASSOC GEN COUNSEL (ADJUDICATION)
34. Position Occupied
1 - Competitive Service 3 - SES General
2 - Excepted Service 4 - SES Career Reserved
38. Duty Station Code
40. Agency D
CLS
45. Remarks
35. FLSA Category
3. Date of Birth
6-C Code 6-0. Legal Authority
6-E. Code 6-F. Legal Authority
15. TO: -Position Title and Number
ASSOC GENERAL COUNSEL (ADJUDICATION)
27010000 OGC0222
22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
OFFICE OF GENERAL COUNSEL
ASSOC GEN COUNSEL (ADJUDICATION)
36. Appropriation Code 37. Bargaining Unit Status
8888
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
47. Agency Code 48. Personnel Office 10
SEOO 1057
AUTHORIZING OFFICIAL
100071025
y opy
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
MITCHELL4. MERIDITH ........ ......... .l<b)(6)
::::PIRSi1/A:e:jJIN/:::::::/::::::::t::m::m::::::::':::::::::::::':::L::::::i:"""::::;:::;;;;,,::::}::::::::n:::/::/::SeC'QNDf;ACmIIN:r:::::"':':":'::::/:::::I:::::: ...... .
:;:;:;:;:; ::::::::::::::;:::;:;:
5-A. Code 5-B. Nature Of Action 6-A. Code 6-B. Nature of Action
894 GEN ADJ
5-C. Code 5-0_ Legal Authority 6-C Code 6-0. Legal AuthoritY
ZLM P.L. 107-123
5-E. Code 5-F. Legal Authority 6-E. Code 6-F. Legal AuthoritY
7. FROM: Position Title and Number 15. TO: Position Title and Number
DEPUTY GENERAL COUNSEL DEPUTY GENERAL COUNSEL
27000000 OGC0298 27000000 OGC0298
8. l' O. I ;tePlRate l' ;;1 0
1'3. 16;; Plan
12A. Basic Pay
1';'
I;
1';' Other Pay
20A. Basic Pay
12;.
12;_ Other Pay
$187191 0 0
14. Name and location of Position' s Organization 22. Name and location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION
OFFICE OF GENERAL COUNSEL OFFICE OF GENERAL COUNSEL
WASHINGTON, DC
..
................................................ ... ' ........, ............................................... ... ... ......... ...... ... .............. ,',' ....... .
23. Veterans Preference
[(b)(6) 11 1 :
3 - la-Point/Disability
4 - 10-Point Compensable
5 - 10-Point Other
6 - 10-Point/Compensable/30%
27. FEGLI l(b)(6) I
29. Pay Rate Determinant
' (b)(6) l(b)(6j I1 L--____ ____ --'
34. Position Occupied
1 - Competitive Service 3 - SES General
2 - Excepted Service 4 - SES Career Reserved
38. Duty Station Code
11-0010-001
40. Agency D
CLS
45. Remarks
35. FLSA Category 36. Appropriation Code
Ilh\I<=:\ E - Exempt
N - Nonexempt
39. Duty Station (City - County - State or Overseas Location)
WASHINGTON,DISTRICT OF COLUMBIA
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
47. Agency Code 48. Personnel Office 10
SEOO 1057
AUTHORIZING OFFICIAL
100064243
y opy
o I
37. Bargaining Unit Status
8888
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, Middlel 2. Social Security Number 3. Date of Birth
5-A. Code 5-B. Nature Of Action 6-A. Code 6-B. Nature of Action
170 EXC APPT
5-C. Code 5-0. Legal Authority 6-C Code 6-0. Legal Authority
WDM SCH A 213.3102(D)
5-E. Code 5-F. Legal Authority 6-E. Code 6-F. Legal Authority
7. FROM: Position Title and Number 15. TO: Position Title and Number
DEPUTY GENERAL COUNSEL
27000000 OGC0298
8. Pay Plan 19. Occ. Code 1 10. Grade/Level 111. Step/Rate 112. Total Salary 113. Pay Basis
16;; Plan 17 118. Step/Rate 121. ;;:asis
12A. Basic Pay
I 12B. Locality Adj. I 12C. Adj. Basic Pay 1120. Other Pay
20A. Basic Pay
12;. A;j6
I 2;. Other Pay
0
14. Name and Location of Position's Organization 22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
OFFICE OF GENERAL COUNSEL
......... , ....... '.' .. "., ......... ........ ...... , ... ........... , ..', .. .. ' ........,' . .......... ' ... ... , ...,',',.,., ...,',',' .......,',.. ',.,', .. , .......,',',',',',', . ....... ', ....... ,' ...........................',' ..,', . ... .. ..
'.:.' ............................................ :.:.. :.: .. :.: .. :.: .. :.: .. :.: .. :.: .. :.:.: ......... :.:.:.:.:.:....... :.:.:.:.:.:.:.:.:.:.:.:.:.:. :.:.:.:.:.:::::.:.:.:: ..::..::..::..::..: .... ::..:::.:::.:::.:::.. :., :.':.':.':.':.':.':.':.':.':.':.':.':.':.':.':.':.':.':'.::'.::'.::' .. :'.::'.::'.::'.:::.:::.::'.::'.::'.':..: .....: ..: ..: ..: .. : ::.:.:.:.::.::.: ;:;:;:;:;:;:;:;:;:;:;:;:::;:::;:::;:;:::;:::::;:;:;::::::::.::.::.: .::.::.::.::.::.::.::.::.::.::.::.::.::.::.::.::.::.::.::.::.::.::.::.::.::.::.::.::.::.:: :::::::::::::::.:.:....... .
.
::.::.::.• : .....· ..: •..¥. ....... I .... ...:'=:. ::I ...::.:::.....· .. ·:.....· ..::.:::U ...::.... ...: ....-:::.::I: ... ........ :.::.::.::.::.::.:: .•...•...•.::.•...•. : ..:.:.: ..::..: ..::.'::::: :::}}}}:::::::::::::::::::::::::::::::::::::::::
':':':':::::':':':':-:':':':':':':':':':':':':':':':'y:.:.:.:.:.:.:-:.:.:.:::::.:.:.:.:.:.:.:.:.:.:-:-:.:-...... .
!Jl
23. Veteran.s Preference
(b) 1 - None 3 - 10-Point/Disability
2 - 5-Point 4 - 10-Point Compensable
27. FEGLI [!O)(f3)' I
i (b)(6)
34. Position Occupied
1 - Competitive Service 3 - SES General
2 - Excepted Service 4 - SES Career Reserved
38. Duty Station Code
40. Agency 0
CLS
45. Remarks
(b)(6)
46. Employing Department or Agency
5 - 1 O-Point Other
6 - 10-Point/Compensable/30%
35. FLSA Category
SE - SECURITIES AND EXCHANGE
47. Agency Code 48. Personnel Office 10
SEOO 1057
L 25. Agency Use 26. Veterans Preference for RIF
2
I
0 - None 2 - Conditional I I (b )(6)
24. Tenure
1 - Permanent 3 - Indefinite
_______
(b)(6)
29. Pay Rate Determinant
o I
36. Appropriation Code 37. Bargaining Unit Status
8888
50. Signature/Authentication and Title of Approving Official
JEFFREY A RISINGER
ASSOCIATE EXECUTIVE DIRECTOR
110476765
y opy
Obtained by Judicial Watch October 3, 2011 through FOIA
Standard Form 50-B
Rev. 7/91
U.S. OHice 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
.. :)t;::::: ......: ..:\\)(
5-A. Code 5-B. Nature Of Action 6-A. Code 6-B. Nature of Action
894 GEN ADJ
5-C. Code 5-0. Legal Authority 6-C Code 6-0. Legal Authority
ZLM P.L. 107-123
5-E. Code 5-F. Legal Authority 6-E. Code 6-F. Legal Authority
7 _ FROM: Position Title and Number 15. TO: Position Title and Number
,
SOLICITOR ' SOLICITOR
27120000 OGC0195 27120000 OGC0195
8. 19 .. 11 O. 1 11 ;0;1 0
113. ;;:asis Plan Step/Rate 121 . ;;:asis
12A. Basic Pay

11;. Other Pay
20A. Basic Pay
12$'
1 ?;. Other Pay 0
$192410 0
14. Name and Location of Position's Organization 22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION
OFFICE OF GENERAL COUNSEL OFFICE OF GENERAL COUNSEL
OFF/DEPUTY GEN COUNSEL (SOLICITOR) OFF/DEPUTY GEN .COUNSEL (SOLICITOR)
O/ASSOC GC (APP LIT & BANKRPCY) O/ASSOC GC (APP LIT & BANKRPCY)
....
"'"
.................. .. .. . .....................................................
o
r O_BQ'i,emen, PI"n 31 . Service Compo Date (Leave) 33. Part-Time Hours Per
....= •••••••-.:.:.: ••-••••••••'- •••
34. Position Occupied
2
1 - Competitive Service
2 - Excepted Service
38. Duty Station Code
11-0010-001
40. Agency D
CLS
45. Remarks
35. FLSA Category 36. Appropriation Code
3 - SES General
4 - SES Career Reserved
(b)(6) E - Exempt
N - Nonexempt
39. Duty Station (City - County - State or Overseas Location)
WASHINGTON,DISTRICT OF COLUMBIA
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
47. Agency Code 48. Personnel Office 10
SEOO 1057
AUTHORIZING OFFICIAL
100070079
y opy
37. Bargaining Unit Status
8888
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)
:.:.
5-A. Code 5-B. Nature Of Action
302 RETIREMENT-VOLUNTARY
5-C. Code 5-0. Legal Authority 6-C Code 6-0. Legal Authority
SQM 5 U.S.C. 8336
5-E. Code 5-F. Legal Authority 6-E. Code 6-F. Legal Authority
7. FROM: Position Title and Number 15. TO: Position Title and Number
CHIEF COUNSEL-DIVERSITY/POLICY INIT
62000000 OHR0900
14. Name and Location of Position's Organization 22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
OFFICE OF THE EXECUTIVE DIRECTOR
OFFICE OF HUMAN RESOURCES
27. FEGLI I (b)(6) I 28. Annuitant Indicator
Ern "--- ------- -------" (b)(6)
I
29. Pay Rate Determinant
o I
30. Retirement Plan . .1. 31 - Service ComD. Dat e (Leave) 32. Work Schedule 33. Part-Time Hours Per

34. Position Occupied
1 - Competitive Service 3 - SES General
2 - Excepted Serv'lce 4 - SES Career Reserved
38. Duty Station Code
11-0010-001
40. Agency D
CLS
45. R J!1arks
(b)(6)
46_ Employing Department or Agency
35. FLSA Category
i(b)(] E - Exempt
N - Nonexempt
36. Appropriation Code
39. Duty Station (City - County - State or Overseas Location)
50. Signature/Authentication and Title of Approving Official
37. Bargaining Unit Status
8888
SE - SECURITIES AND EXCHANGE JEFFREY A RISINGER
47_ Agency Code 48_ Personnel Office 10
SEOO 1057
ASSOCIATE EXECUTIVE DIRECTOR
110937121
y opy
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) 3. Date of Birth
.............. .............. ........................ '.'.' ................................. . , ....... , ............ ................... . .........................................
5-A. Code 5-B. Nature Of Action 6-A. Code 6-B. Nature of Action
130 TRANSFER
5-C. Code 5-0. Legal Authority 6-C Code 6-0. Legal Authority
KTM REG. 315.501
5-E. Code 5-F. Legal Authority 6-E. Code 6-F. Legal Authority
7. FROM: Position Title and Number 15. TO: Position Title and Number
CHIEF LEARNING OFFICER
62000000 OHR0093
8. Pay Planl9. Occ. Code 110. Grade/Level 111. Step/Rate 112. Total Salary 113. Pay Basis 16.Pay Plan 17. Occ. Code r8. Grade/Level Step/Rate 120. Total Salary/Award 121. Pay Basis
SO 0301 02 0 $227672 PA
12A. Basic Pay 1 12B. Locality Adj. 1 12C. Adj. Basic Pay 11 20. Other Pay
20A. Basic Pay
12;'
12;. Other Pay
$183281 0
14. Name and Location of Position's Organization 22. Name and Location of Position's Organization
FDOO SECURITIES AND EXCHANGE COMMISSION
OFFICE OF THE EXECUTIVE DIRECTOR
OFFICE OF HUMAN RESOURCES
.................... .................................. , . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ...................... .........•. .......' .....',., .. .. . .....................................
23. Veterans Preference
1
(b) n 1 None 3 - 10-Point/Disability 5 - 10-Point Other
u,.". 2 : 5-Point 4 - 1 O-Point Compensable 6 - 10-Point/Compensable/30%
I
]<b)(6)
34. Position Occupied 35. FLSA Category
1 - Competitive Service 3 - SES General E - Exempt
2 - Excepted Service 4 - SES Career Reserved N - Nonexempt
29. Pay Rate Determinant
36. Appropriation Code 37. Bargaining Unit Status
8888
38. Duty Station Code 39. Duty Station (City - County - State or Overseas Location)
11-0010-001
40. Agency 0
CLS
45. Remarks
(b)(6)
46. Employing Department or Agency
SE - SECURITIES AND EXCHANGE
47. Agency Code 48. Personnel Office 10
SEOO 1057
50. Signature/Authentication and Title of Approving Official
JEFFREY A RISINGER
ASSOCIATE EXECUTIVE DIRECTOR
101722778
y opy
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
A... ........ .... ....... ..... :.:.:.:.:.:.:.: ......... : ..:::::..:::..: .. ::.. ::.:.::::.. :::::::::.:: ..: ...: .. : .......... . ::.::.::.::.: .::.::.:: .:: .. ::.:: .. ::.:: .. ::.:: .. ::XXX
S
'.' ...•:E ..... . ....: ..... ... :: :.:XX ....N.::...... " .. ::.:j.( .... : .. :b .. : .. ...:( .. • . ::: r.>i: . ).:': ••:' •• :T.' .: ••• : .•• :.:. , .::. " .: •• : •• :iII> .. :.T .' •••: ••: ••• :. 1 .. :.:.. : .. : ... : .. : ... :.: ... : .. : ... :.: ... : ..: I .. :_.: ( .. :_.: ... ... :.: ... :).: ... :_.: ( .. :_.:.6 .. ... :.: ... :).: ... :_.: ... : .. : ... :.: ... :.:' .. :.: ' .. :.:' .. :.: ' .. :.: '.,:,: •.. :: .... ::•... :: ...: .. : ... :: ... : .. : .. ' .. :.:.,:,: .:.:'.:.:.:.:' .:.:'.:'.:.:' .. :'.:' .. ... : ... : .. : .. : ... : ... : ... :.:/o.!o! .. :.:.. :.:.. :.:..
::: PISSJ.1ilD.::dSNii/r:::i/i:::!:::!::::!: :::/:.i:\:::::::::;::::::ii/:;::::tt::: Iii'- UHI }:::f:::::"
5-A. Code 5-B. Nature Of Action 6-A. Code 6-B. Nature of Action
890 MISC PAY ADJ
5·C. Code 5·0 . Legal Authority 6-C Code 6·0. Legal Authority
ZLM P.L. 107-123
5· E. Code 5·F. Legal Authority 6-E. Code 6·F. Legal Authority
7. FROM: Position Title and Number 15. TO: Position Title and Number
ASSOCIATE EXECUTIVE DIR. (OHR) ASSOCIATE EXECUTIVE DIR. (OHR)
62000000 OAS5312 62000000 OAS5312
14. Name and Location of Position's Organization 22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
OFFICE OF THE EXECUTIVE DIRECTOR
OFFICE OF HUMAN RESOURCES
SECURITIES AND EXCHANGE COMMISSION
OFFICE OF THE EXECUTIVE DIRECTOR
OFFICE OF HUMAN RESOURCES
................................ .. ... .. .
. ............. ;
: .• i:.i.:.:E .. :.:.M ...: .... P .. : ..:.l .. :l:.: r-' .. :::.:.:¥: .:.··.:::.E .. :.:.:E ...: ..:.:.:.:.i. D ...:.:.· ....A.·· .. : .. ·:. T .. :.::.A .....:.i.:i.:i.:i.:i.:i.::.>.:· ..: .. ::.:: ..::.....::.::.:... ::.:..•....... .•... :.: ..:-:.:.. :::: :·::::::::::::::::::::·::::::::::):":::i::::.::::.::.::.::.::.: '.::'.: .:'.':.'::.:.::.•.:.::::..::.:.<.: •. : •. : •. : •. : •. ::.::.::.::.:.:}}}:::::::::::::':':- .... :.: .. :::.:.:....:-:.:.:.:. :::::::: ::::}::::.:-: :::::::::::::.:-:-............. .
23. 24. Tenure .:.:.::;::::::::::::::::::::::::::::.:.:.:.::::::::::

__ ..l-_--l (b)(6) I
1 • None 3 • 10·Point/Disability 5 • 1 O·Point Other I O· None 2 • conditionalJ I
...... ................................. .........:::....... .
(b) 2· 5·Point 4· 10·Polnt Compensable 6· 10·Point/Compensable/30% 11 1· Permanent 3 • Indefinite
27. FEGLI L(b)(6) I 28. Annuitant Indicator 29. Pay Rate Determinant

(b)(6)
I
o I
f
b
)(6')",.mon, PI.n.la1. Service Compo Date (Leave) 32. Work Schedule 33. Part-Time Hours Per
··:·:·.. pts$·" .. ··1· '!r.! :": l"ftN'··' , •. n ::A:: ll, :A. · • • •. ..•::::::} ... :':':':':':':':.:.:.:.:.:.:.:.:.:.::.:.::: I:: :: ...: ...:.;.:.: ........... . .............. .... ... :.;.;::.;:::::::::.:::::::::::::: : ..... .
U ::1:;: :w. lil.M M .....................: .....:.,:...:.;.:.;.:::::::::::::::::::::::::. :::::: ........:: ::::::::::::::;:;:;:;:;:;:;:::::::::::::::::::;:::::::::;:;:;:;:;:;:;:;:;:::::::::::::::.:::.:.:..:.:....... .
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
38. Duty Station Code
51-0040-510
40. Agency D
CLS
rth\7C\ E • Exempt
N· Nonexempt
39. Duty Station (City - County· State or Overseas Location)
ALEXANDRIA,ALEXANDRIA,VIRGINIA
8888
RI

46. Employing Department or Agency
SE - SECURITIES AND EXCHANGE
47. Agency Code 48. Personnel Office 10
SEOO 1057
50. Signature/Authentication and Title of Approving Official
JEFFREY A RISINGER
ASSOCIATE EXECUTIVE DIRECTOR
100876006
y opy
Obtained by Judicial Watch October 3, 2011 through FOIA

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