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Standard Form 50-B

Rev. 7/91
U.S. Office of Personnel Management
FPM Supp. 296-33, Subch. 4
1. Name (Last, First. Middlel
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
SPECIALITY UNIT CHIEF
40000000 OEN1032
NOTIFICATION OF PERSONNEL ACTION
2. Social Security Number 3. Date of Birth
... ......... ............................... ............................... ... ................ .......
6-A. Code 6-B. Nature of Action
890 MISC PAY ADJ
6-C Code 6-0. Legal Authority
ZLM P.L. 107-123
6-E. Code 6-F. Legal Authori ty
15. TO: Position Title and Number
(SEC SPECIALITY UNIT CHIEF (SEC
40000000 OEN1032
8. 1
10
. 1
113. 16;; Plan Step/Rate 1
21
.
12A. Basic Pay
11;. I;
11;. Other Pay
20A. Basic Pay
12;. A;i6
12;. Other Pay
$170966 0 0
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
WASHINGTON, DC WASHINGTON, DC
:.:...;.' ...... : ......... '. . ....................................., ..............................' .... ..... ......... ......... ........ . .......................... ' ... ................................................................................... , ................... .. .............. ...... ,.,' .....,.,' .....'.' ....... ,
34. Position Occupied 35. FLSA Category 36. Appropriation Code 37. Bargai ning Unit Status
2
1 - Competit ive Service
2 - Excepted Service
38. Duty Station Code
40. Agency D
CLS
45. Remarks
E<_6_) _ _ _
46. Employing Department or Agency
3 - SES General
4 - SES Career Reserved
I
E - Exempt
N - Nonexempt
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
110671405
y opy
8888
Obtained by Judicial Watch October 3, 2011 through FOIA
Standard Form 50B
Rev. 7/91
U.S. Office of Personnel Management
FPM Supp. 29633, Subch. 4
1 . Name (last, First, Middle)
5A. Code 5B. Nature Of Action
721 REASSIGNMENT
5C. Code 5 0 . legal Authority
NOTIFICATION OF PERSONNEL ACTION
3. Date of Birth
6A. Code 6B. Nature of Action
6C Code 60. legal Authority
WDM SCH A/ 213.3102(D)
5E. Code 5 F. legal Authority 6E. Code 6F. legal Authority
7. FROM: Position Title and Number 15, TO: Position Title and Number
DIRECTOR DIRECTOR
40000000 OEN0679 40000100 OEN0679
8. 110.
113. ;;:asis 16;; Plan Step/Rate 121 . ;;:asis
12A. Basic Pay

11 $' Other Pay
20A. Basic Pay
12;.
12;. Other Pay
$187417 0 ?187417 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 (ARO)
DIVISION OF ENFORCEMENT .
WASHINGTON/DC
. .. ...........................................................................................................................................................
::::::::&:1\11' ::.:::.:::.:::.:::.:::.:::.:::.:::.:::.:::.:::.:::.:::.:::.:::.:::.:::.:::. :::.:::.:::.:::.:::.:::.:::.:::.:::.: .... . .................. :.:.. -:::. :-:-:-:-:-:-:.:.:.:-:::::::::::-::::::::::::;:: ::.:: .:::.:::.:.: ... :.:.' .:.::.... :.:.:.:.. :.:.:.:.:.:.:.:::.:::.::.::.:::.:.:.:.:.:.:.:.:.:.::::::: :::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::............. ....... :.:.:.:.:.:.:.:.:.:.:.:::::.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:-:-:.:-:.:-:.:.;.:.:.:.:.:.:.:.:.:.:.;.:.
::::::::.:: ........ ... :-:-:.'.;.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.::::: :.:.:.::::::: ..........-:-:-:-:.:.:.:.:.:.:-:.:.:.:.:-:-:-:.: I ?: ::::::::(:2: b:::
6
:):::(:::6:
v
:::)::e::: t::e:::r:::a:::n:::s:::::p::::r::e:::f:::e:::r::e::::n:::ci:::e:::::f:::o:':r':"' R"' I'F' . 23. Veterans Preference ........ .......................... . ................. .................. .................
l(b)(6)TI 1 . None 3 . 10Point/Disability 5 . 1 OPoint Other 2
I 2 5Point 4 , 10Point Compensable _ ---=6_ -'- 1 0=-,-,-- po""in",t:/c.::C..:::om""pc..::e""ns:=a::.:bl:::.e/.:.c30:..:,*.:.c0_-I-__ L-.;--.:...::cc.c::::.:::::.:.............::......;;===--L-_--.JL-__ ____ .L.
27. FEGLI I 28. Annuitant Indicator 29. Pay Rate Determinant
l(b)(6) ] (b)(6) I 0 I
34. Position Occupied
2
1 . Competitive Service 3 SES General
2 . Excepted Service 4 . SES Career Reserved
38. Duty Station Code
40, Agency D
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
101690200
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)
NOTIFICATION OF PERSONNEL ACTION
2. Social Security Number 3. Date of Birth
.....
. , ........... ...........' .... '.' . . ' ........... . ...................... . ..... .............................................................................. ............................................................. , .... , ..
5-A. Code 5-B. Nature Of Action 6-A. Code 6-B. Nature of Action
890 MISC PAY ADJ
5-C. Code 5-D. Legal Authority 6-C Code 6-D. 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
UNIT CHIEF (STR. & NEW PRO UNIT CHIEF (STR. & NEW
40900100 OEN1035 40900100 OEN1035
PRO

113. ;;:asis 16;; Plan Step/Rate 121. ;;:asis
1 2A. Basic Pay
11;.

11;. Other Pay
20A. Basic Pay
12$.
120D. Other Pay
$177401 0 $188045 $
14. Name and Location of Positions Organization 22. Name and Location of Positions Organization
SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION
DIVISION OF ENFORCEMENT DIVISION OF ENFORCEMENT
DIVISION OF ENFORCEMENT DIVISION OF ENFORCEMENT
OFFICE OF ASSOC DIRECTOR OFFICE OF ASSOCDIRECTOR
pg .. . ....... ................. ... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
.:.:.:.:.:.:.:.:.:.:.:.:.::.,:::.:.:.:.:.:.:.:::.:.:.:.:.................................................... ','.',','.',:.:.:.:.:::.::::::::::::::::::::::::::::::::::::::"'.:.:.:.: :-:::::::::::::,:,:""".
"'::::::::::::' """",:,:,::::' ..:':'.:':'.:' .. : ..:'.': ..':.'.:.:':'.:'.': ..:':'.:::'.:':'.:':'.:':'.:::'.:':'.::::.:':'.:':'.:::'.:':'.:::'.:':'.:':'.:':'.:':'.:::'.:'::.:':'.:::'::.':'.':'.'.,.,.,.,.".".,:,,:. :::::::::::::::::.:.:.
,',',',' ....:.:...: ...: ... .... :.:, .... :,:",:"",:,:,::,,:,,:::::,:,:,:,:,:
.................... ' ...' .......:.:.:.:.:::.:::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::
0
24. Tenure 26. Veterans Preference for RIF
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
o
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)
RI
50. Signature/Authentication and Title of Approving Official
SE - SECURITIES AND EXCHANGE JEFFREY A RISINGER
47. Agency Code 48. Personnel Office ID
SEOO 1057
ASSOCIATE EXECUTIVE DIRECTOR
110120749
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
170 EXC APPT
5-C. Code 5-D. Legal Authority
NOTIFICATION OF PERSONNEL ACTION
6-A. Code 6-B. Nature of Action
6-C Code 6-D. 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
ASSOCIATE DIRECTOR
40000000 OEN0743
8. Pay Planl9. Occ. Code 110. Grade/Level 111. Step/Rate 112. Total Salary 113. Pay Basis
16;; Plan 17 r 8. b Step/Rate 1
21
. ;;:asis
12A. Basic Pay 1 12B. Locality Adj. 112C. Adj. Basic Pay /1 2D. Other Pay
20A. Basic Pay

120D. Other Pay
$182064
$ .
0
14. Name and Location of Position's Organization 22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
DIVISION OF ENFORCEMENT
..
:.:.:.;.' ................. :- .... .......... ....... ," , .. " ......... :.:.:.:. ........................................ ............... ', .. ',.,. ,',' ............. ............., N . .. . ..................................... , ...... ..........................................................
........ :.......................... ..... ..... ::::::::::::: :::::::::::::::::::::::::::::::::::::: ...... ::...: .. ::.:: ..:::.: ..::.:.:..::..::..::..::.. .... for RIF
::::/ ... ... .... :::::::::::::::::::::::::::::::::::;:.:.: ....... .
23. Veterans Preference
l(b)(6) tl None 3 - 10-PointiDisability 5 - 10-Point Other 2 I 0 - None 2 - Conditional I I I(bj(6) l
2 - 5-Point 4 - 10-Point Compensable 6 - 10-PointiCompensable/30% 1 - Permanent 3 - Indefinite
J Indicator 29. ;y 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
1 -
46. Employing Department or Agency
35. FLSA Category 36. Appropriation Code 37. Bargaining Unit Status
l(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
SE - SECURITIES AND EXCHANGE JEFFREY A RISINGER
47. Agency Code 48. Personnel Office ID
SEOO 1057
ASSOCIATE EXECUTIVE DIRECTOR
101657284
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
880 CHG IN TENURE
5-C. Code 5-0. Legal Authority
PKM REG 351. 502
5-E. Code 5-F. Legal Authority
7. FROM: Position Title and Number
DEPUTY DIRECTOR
40000000 OEN0675
NOTIFICATION OF PERSONNEL ACTION
2. Social Security Number 3. Date of Birth
6-A. Code 6-B. Nature of Action
I
GROUP
6-C Code 6-0. Legal Authority
6-E. Code 6-F. Legal Authority
15. TO: Position Title and Number
DEPUTY DIRECTOR
40000000 OEN0675
8. 110.
113. ;;:asis
16.Pay Plan 17. Occ. Code J8. Grade/Level Step/Rate 120. Total Salary/Award r1. Pay Basis
SO 0905 020 $230700 PA
12A. Basic Pay

I; ;C
3

11;. Other Pay
20A. Basic Pay
1
2
$'
12;. Other Pay
$187417 0 $187417 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
... .. ...... ................. , .. , .. , .......... '.' .' ................................... ..
27. FEGLI l(b)(6) I 28. Annuitant Indicator
lM_(6) - - -------'. i(b)(6)
29. Pay Rate Determinant
o I
34. Position Occupied 37. Bargaining Unit Status
1 - Competitive Service
2 - Excepted Service
38. Duty Station Code 39. Duty Station (City - County - State or Overseas Location)
11-0010-001 WASHINGTON, DISTRICT OF COLUMBIA
40. Agency D
CLS
45. _ _____ _ _
I (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
101304337
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 Number 3. Oate of Birth
::m::,i,i.\lii?tJlIi:iiiM::rmi ::::::::::::::::::::,:::;:;:;: .... : ..... .;.....:,,::::i .,t\:,::::.::::::: .....,::::=::::::::: .
................................ ....................................... . ............................................. . .......... .................................... .................... . ..........' ......... .............................. ' ....................... ,', . ........ ..... . , ...................... ....... .................. . . ..........................................
5-A. Code 5-B. Nature Of Action 6-A. Code 6-B. Nature of Action
317 RESIGNATION
5-C. Code 5-0. Legal Authority 6-C Code 6-0. Legal Authority
RPM REG 715.202
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
UNIT CHIEF (FOREIGN C P)
40600100 OEN1033
8. 11 O. I ;tep/Rate 11 $ ;0;1 0
113. ;;:asls
16.Pay Plan 17. Occ. Code 118. Grade/Level 119. Step/Rate 120. Total Salary/Award r1 . Pay Basis
12A. Basic Pay
11 $'
;C
3

11 $' Other Pay
20A. Basic Pay 120B. Locality Adj . 120C. Adj. Basic Pay 1200. Other Pay
$187417 0
14. Name and LO\'ation of Position's Organization 22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
DIVISION OF ENFORCEMENT
DIVISION OF ENFORCEMENT
OFFICE OF ASSOC DIRECTOR
.... ...... , ..... " .......... ..................... ................... . .... , ............ ........ ....................... ....... .. ........ .......... . .................. ................. . ........ . ........

3 _ 10-Point/Disability 5 _ 10-Point Other Tenure 0 _ None 2 _ Conditional r


25
AgelnC
y
Use
25-Point 4 - 10-Point Compensable 6 - 10-Polnt/Compensable/30% I .1. I 1 - Permanent 3 -Indefinite I
27. FEGLI (b)(6)
l(b)(6) ]1'---
34. Position Occupied
2
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
Annuitant Indicator 29. Pay Rate Determinant
(b)(6)
01
35. FLSA Category 36. Appropriation Code
l(b)(6) E - Exempt
N Nonexempt 8888
39. Duty Station (City - County State or Overseas Location)
50. Signature/Authentication and Title of Approving pfficial
SE - SECURITIES AND EXCHANGE JEFFREY A RISINGER
47. Agency Code 48. Personnel Office 10
SEOO ' 1057
ASSOCIATE EXECUTIVE DIRECTOR
110864196
y opy
Obtained by Judicial Watch October 3, 2011 through FOIA
.Standard Form 50B
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
721 REASSIGNMENT
SC. Code SD. Legal Authority
N2M REG. 335.102
5-E. Code 5-F. Legal Authority
7. FROM: Position Title and Number
CHIEF ACCOUNTANT
40100000 OEN0757
14. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
DIVISION OF ENFORCEMENT
OFFICE OF CHIEF ACCOUNTANT
6-C Code 6-0. Legal Authority
6-E. Code 6-F. Legal Authority
15. TO: Position Title and Number
CHIEF ACCOUNTANT
40010100 OEN0757
22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
DIVISION OF ENFORCEMENT
OFFICE OF REGIONAL DIRECTOR (ARO)
DIVISION OF ENFORCEMENT
OFFICE OF CHIEF ACCOUNTANT
.. 1?C ........................................... . .. . .. .. .
.. .. }:::;:........ ....... : ::::::::::::.::::::::::: ..... .
24. Tenure 26. Veterans Preference for RIF 23. Veterans Preference

2-5,Po'"t
3-10Point/Disability 5- 10Point Other O None 2- Conditional (b)(6)
4 10Point Compensable 6,_'..:.1 _+-:-:=--_L.:l_ . .:..p.:::er.:::m:.:;an.:::e:::nt:...-..:3:... ___ ___ -d. J_
FEGLI
(b)(6)
34. Position Occupied
1 Competitive Service
2 Excepted Service
38. Duty Station Code
40. Agency D
CLS
45. Remarks
46. Employing Department or Agency
--J ' Indicator I 29. Rate Determinant
32. Work Schedule
37. Bargaining Unit Status
8888
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
101639040
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. 29633, Subch. 4
1. Name (Last, First, Middle)
NOTIFICATION OF PERSONNEL ACTION
2. Social Security Number 3. Date of Birth
.... SPORKIN ....... THOMAS.A ................ . ........................................... .. w -,," ----, J ..
.::.:'.':.:'.".:'.::.' F ... : ... :J.R ... : .... .... ,.:.:.... i\: ...... :.:,:.. .... :,.... .,.'., J :.,m..:,."..: N .... :...,:.:'.,:.:'.".:'.".:.:.. '.i.".:'.".:'.:'.'.:'.:'.".:'.:'.:.:.i.,'.:'.".:'.,'.:'.'.. : ... ".,:.::.,.,:.:'.".' :':':':':':':':':':':-:-:':':':"""':':-::::':':::"'".,"',. ::::':::::'::::::,:,:::,:::,:,:,:,:,:: ,:,:,:,:,:,:,:,:,:,:,:,:,:"",:,:"",::;: .:.'.. :.:.:.. ' .. :.' ..: . . ' .E.:.,.#!fI ."..:.A: ..".:... :ii; .... :' .. .. " ..... : .. :.:'A.: .. .. .. ,.:1. ' ..: .. : ... .
l(b)(6)
9.:=,:; w.: :.:.:.:.:.:-:.:.:.:.:.:.:.:.:.:.:.:.:.'.:.:.:::::::::::::::::::::::::::::::::::.:.:::::::::::::::::.:.:::.:.:.:.:.:.:.:.:.:.:.:::.:.:.:.:.::::;:::::.:. Q
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
CHIEF-MARKET INTELLIGENCE CHIEF-MARKET INTELLIGENCE
40120100 OEN1037 40120100 OEN1037
8. 19. 11 O. I 11 8
113. ;;:asis 16;; Plan 1
21
.;;:asis
12A. Basic Pay
11;.
11;- Other Pay
20A_ Basic Pay
12$'
12;. Other Pay
$177401 0 ?188045 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
DIVISION OF ENFORCEMENT DIVISION OF ENFORCEMENT
ASSOC DIRECTOR OF MARKET INTELLIGENCE ASSOC DIRECTOR OF MARKET INTELLIGENCE
.... . ..................... ',.,' ...., ...... '.', ......................................... . ................... . .......................... ........................
..
30. Retirement Plan J31. Service Camp. Date (Leave) 32. Work Schedule 33. Part-Time Hours Per
[(b)(6) l(b)(6) : F Biweekly
:
',.:':':,:.", fI .,::.:.m ...,." .., S ..... , ... T! ,','.::::::I .". .. '.,:.. ::' N,.: ....... :'":,:, n .. ,,.,.-.:. :N: .., ... ....,:,':J[ .. ,.:.. ', :.:,:,:,,'::,':,:,:,:':':':',',',',',':',':' :.: ::':':.:':':':.:' :.:' :.:' :.: ,:,:::,:,:.: :: ,:,:::,: ::::,:J:,:,:,:::: """""""""""':':':':':"":""" """':;:"';:.,' ...:',',',:' .. :,,' ...... ::':::::::::::'::::::::: .. :,:::::::::::::::::::: ..... ................... .. :.:.::.: ............. ............................,.,.,.:.:.,.,::::.::.:::::::::::::"",::,:,:,:,J::... .... .
r:::U ::1::: U w:r.t::I::M :.:.:.:.:.;.;.:.:.:-::::;:::::::::::::::::::::::::::::::::::::::::;:;;; ::::::::::::::::::::::;:::::::::::::::::;:;:::;:::::::::;:;:;:;:;:;:;:;:;:;:;:;:;:::;:;:;:;:;:;:;:;:;;;:;:::;:;::::::::.:.:......
34. Position Occupied
2
1 - Competitive Service
2 - Excepted Service
38. Duty Station Code
11-0010-001
40. Agency D
CLS
4Ji ..
I (b)(6)
46. Employing Department or Agency
3 - SES General
4 - SES Career Reserved
35. FLSA Category 36. Appropriation Code 37 _ Bargaining Unit Status
I (b)(6) Eo' Exempt
N - Nonexempt 8888
39. Duty Station (City - County - State or Overseas Locationl
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
110120787
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)
:.:::iiijie.ltiii:::::::iiillii:
;:;:;:;::::::::::::: .:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.... ' ..... : ......... :.:.. ... : ....... : .. :.:.:... ... ... , .......
:::::::::::::::.:::.:.:.:.:.:.:::::::::::::::::::
5-A. Code 5-B. Nature Of Action
890 MISCPAY 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
SUPVY STAFF ACCOUNTANT
2. Social Security Number 3. Date of Birth
6-C Code 6-0. Legal Authority
6-E. Code 6-F. Legal Aut hority
15, TO: Position Title and Number
SUPVY STAFF ACCOUNTANT
MANAGING EXECUTIVE FOR ENFORCEMENT MANAGING EXECUTIVE FOR ENFORCEMENT
40100200 OENOl12 40100200 OENOl12
8. Pay Planls. Occ. Code /10. Grade/Level/II . Step/Rate /12. Total Salary / 13. Pay Basis 16.Pay Plan 17. 0, cc. Code /18 . Grade/Level 119. ,Step/Rate 120. Total Salary/Award 121. Pay Basis
SO I 0510 01 00 $225333 PA SO 0510 02 pO I $230700 I PA
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
DIVISION OF ENFORCEMENT DIVISION OF ENFORCEMENT
OFFICE OF MANAGING EXECUTIVE OFFICE OF MANAGING EXECUTIVE
OFF OF MANAGING EXECUTIVE-BUSINESS/CO OFF OF MANAGING EXECUTIVE-BUSINESS/CO
DC . .... .................. ...................... ............ ..... .
:\:e.MRCQMIIHPlllA: .;: :\:\\:::::::;:; ;:;:;:;:;:;:::;:::;:;:;::;;:: /:t\:::::-:\\:::: : \;:::. (:: :.::..::................. ............ ........ .. ...:: :::::::::/\:/\:/ ::::/ :/:;.
2; Rl i
23. Veterans Preference

I- None
2 - 5-Polnt
3 - 10-PointlDlsability
4 - 10-Point Compensable
5 - 10-Point Other
6 - 10-Point/Compensable/30%
27. FEGLI l(b)(6)

I
28. Annuitant Indicator 2S. Pay Rate Determinant
(b)(6)
o I
34. Position Occupied 35. FLSA Category 37. Bargaining Unit Status
1 - Competitive Service 3 - SES General (b)(6) I E - Exempt 8888
___ ___ __ ____________________________________ -L __ ________ __
38. Duty Station Code 3S. Duty Station (City - County - State or Overseas Location)
11-0010-001
40, Agency D
CLS
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
101985758
y opy
RI
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. Oate of Birth
l(b)(6) l(b)(6)
.. F ....... .. .. .. ... .. : .. .. :,:::::::::::::::::::::::::: :::::::::::::::::,: .0 ::::::::':':'::::: : BlM;1HN,,:, .,.,."" :.:.:.:.:.:.:':. :.:::.:.:':.: ..................... ........................ : ...:.:::::. ... XXX.::-.XX::. r_ .. .. _ ... _ .. ........... . .
r. nO:I:: :.:.))...,. ))SSOONO:A:CmIIN .,:d\::rrr::.::.;:
5-A. Code 5-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
SPECIAL COUNSEL
20000000 OES0602
14. Name and l.,ocation of Position's Organization
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
SPECIAL COUNSEL
20000000 OES0602
22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
OFFICE OF EXECUTIVE STAFF
SECURITIES AND EXCHANGE COMMISSION
OFFICE OF EXECUTIVE STAFF
27. FEGU l(b)(6) 28. Annuitant Indicator 29. Pay Rate Determinant
l(b)(6) 0 I
34. Position Occupied
1 - Competitive 3 - SES General
2 - Excepted Serif ice 4 - SES Career Reserved
38. Duty Station Code
11-0010-001
40. Agencv D
CLS
6 RlOm$:lr..!Lc::., _______ _ _
(b)(6)
46. Employing Department or Agency
35. FLSA Category
l(b)(6) E - Exempt
N - Nonexempt
36. Appropriation Code
39. Duty Station (City - County - State or Overseas Location)
WASHINGTON,DISTRICT OF COLUMBIA
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
100875162
y opy
Obtained by Judicial Watch October 3, 2011 through FOIA
Standard Form 50B
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
....;.:.:.:.:.:.:.:.::::::.:::::;:.;.... : ..:\\ ......::":::.:.:.:.:::::.::::." ::..:.:. :. :. : ......:. ::.::::::: ::.:::.:....::::.:.:.:.:.:::.:::'.::::: :;:;: :;:;:::::; :.XXXS ... . ........ J
ttri: :::;:::::::(??::.:::\::::::::::::::: :.:\::...... ...::::::::::;:;:;({: : .. .:::
5-A. Code 5-B. Nature Of Action
317 RESIGNATION
5C. Code 5-0. Legal Authority
RPM REG 715.202
5-E. Code 5-F. Legal Authority
7. FROM: Position Title and Number
DEPUTY CHIEF OF STAFF
20000000 OES0912
6A. Code 6B. Nature of Action
6C Code 6 0. Legal Authority
6E. Code 6F. Legal Authority
15. TO: Position Title and Number
::;::):::::::::::::::
:.:-:.:.:.:.;.:.:...... .
8. Pay Plan 1 9. Occ. Code 110. Grade/Level 111 . Step/Rate 112. Total Salary 113. Pay Basis 16.Pay Plan 17. Occ. Code 118. G'rade/Level 119. SteplRate 120. Total Salary/Award 121. Pay Basis
SO 1 0905 02 00 $230700 PA 1 .
$185719
11;. Other Pay 0 20A. Basic Pay 1
20B
. Locality Adj. 1
20C
Adj . Basic Pay 1200. Other Pay
12A. Basic Pay
14. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
OFFICE OF EXECUTIVE STAFF
34. Position Occupied 35. FLSA Category
1 - Competitive Service 3 - SES General Ifb'f6' E - Exempt
2 - Excepted Service 4 - SES Career Reserved N - Nonexempt
22. Name and Location of Position's Organization
29. Pay Rate Determinani
o I
36. Appropriation Code
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
110651703
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 NOTIFICA nON OF PERSONNEL ACTION
1 . Name ILast, First, Middle)
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
DIRECTOR OF COMMUNICATION
20000000 ES11011
14. Name and Location of Position's Organization
2. Social Security Number 3. Date of Birth
_ J (b)(6) I l(b)(6)
:
:.: :xxxS: .: t!.' ..:n ::::::.:.n.:. :.:.:XX...N:: .. D.:.:.: .. !:.:::.:. ' ii;. :. .'. :.:n ..:.:...':.:.::. ::: . 1.:."' .... :::.::11 .: ...:.:. ::::::.::::::-:,..
W: .., ...... .
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 OF COMMUNICATION
20000000 ES11011
22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
OFFICE OF EXECUTIVE STAFF
SECURITIES AND EXCHANGE COMMISSION
OFFICE OF EXECUTIVE STAFF
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;:1:;: w: m ::J:::rt; ............: ... '::::::::::::::::::::"':::::::::::': :.;.::::::::::::::::::::::::::::::::::::;:;:;:;:;:;:;:;:;:;:;:;:::;:::;:;:;:;:::::::::::::::::;:::;:;: ::::::::.:::.:.:.:.:......... .
34. Position Occupied
2
1 - Competitive Service
2 - Excepted Service
38. Duty Station Code
40. Agency D
CLS
45. Remarks
l(b)(6) -
L
46. Employing Department or Agency
35. FLSA Category 36. Appropriation Code 37. Bargaining Unit St atus
3 - SES General
4 - SES Career Reserved
I (b)(6) 1 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
100875210
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

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
ZLM P.L. 107-123
5-E. Code 5-F. Legal Authority
7_ FROM: Position Title and Number
CHIEF OF STAFF
20000000 OES6900
14. Name and LocatIon of Position's Organization
6-C Code 6-0. Legal Authority
6-E. Code 6-F. Legal Authority
15_ TO: Position Title and Number
CHIEF OF STAFF
20000000 OES6900
22. Name and Location of Position's OrganIzation
SECURITIES AND EXCHANGE COMMISSION
OFFICE OF EXECUTIVE STAFF
SECURITIES AND EXCHANGE COMMISSION
OFFICE OF EXECUTIVE STAFF
..... . .' D<;........ ...... ....... . .'. J?g ..
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.... ...:::::::::::::;::::.;.;.:.:.:.:. ::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::),
23. Veterans Preference 24. Tenure 25. Agency Use 26. Veterans Preference for RIF
1 - 3 -10-Point/Disability 5 -10-Point Other I 0 - None 2 - Conditional, I i(b)(6)
2 - 5-POInt 4 - 1 O-Point Compensable 6 - 10-Point/Compensable/30% 3 1 - Permanent 3 - Indefinite , I
27. FEGLI 28. Annuitant Indicator 29. Pay Rate Determinant
-l j(b)(6)
o I
Plan Compo Date 32. Work Schedule 33. Per
:.,..(.,..(.tp .... A.:,:..S( . . . I .. m. .::> . N. . : . .. .....)"'."'.':.r..::.:.:,.'.:.' .. ' . '.,.." . '.'.:.:,.:,.'.... : ..::.: ..: ..: .. : .. : ....::.:.. : .. : ..: .. : ..: ... :.:.::.::.::.:.:.: .:.:. : . ::.::.:. ::.:. ::.::.::.:. , . , .:.::.::.:.::.::.,:.: .. :.::.:.: .::.: .::...: ....='.':.::.::.::.::.::.,'.,'.'...,:.,:.:.,.,:.,. ......, .. " .:,.F:,.:., ...::.: :::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::.:::::::::::::::::::: .. ... ..
U ::1::: W: UM::I:::M :::::::::::::::::::::::::::::::::::::.:.:::::::::::::::::::::::::::::.:::::::::::::::::::.:::::::::::::::::::::::::::::::::::::::::::::::::::::;:;:;:;::::::::::::::.:.:....... .
34. Position OccupIed
2
1 - Competitive Service
2 - Excepted Service
38. Duty StatIon Code
40_ Agency 0
CLS
45. Remarks
3 - SES General
4 - SES Career Reserved
35. FLSA Category
(b)(6fI E - Exempt
,-,,-, I N - Nonexempt
36. Appropriation Code
39. Duty Station (City - County - State or Overseas Location)
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
100086131
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
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
COUNSEL TO CHR./DIR./OLIA
20500000 OES0998
14. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
OFFICE OF EXECUTIVE STAFF
OFF/LEGIS & INT-GOVRNMTL AFFAIRS
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
COUNSEL TO CHR./DIR./OLIA
20500000 OES0998
22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
OFFICE OF EXECUTIVE STAFF
OFF/LEGIS & INT-GOVRNMTL AFFAIRS
I DS.. .... : .. :.:.:.:.::.. ....................... ..... ...... .... .
.
.. :.:M ... .... ft.:.: : .. :.i .::.::::. :t\ .... ::: .. .... :.: ....r: . ::.::i!t .. :.:::.:::.:.n.:.: ... .:.,.,.::.w' .. : .. ::'.: .. :.' .::.::.::........... : ...: :: ..... ::::.::::: . : .. : . ::: .. : :: . : .: : . ::. :::::::: : ' : ' : .': ))::::::::::::::::::::::.::.::.::.::.::.:: ::::::::.:.'::.:::.:::.:.:.:.:.: .:.::.:.:.::.::.:.:.:.:.:.:.:.:.:.:.:::: :-:-:.:-:-:.:-:.:-:-: ... : .:.:.:.:-:-:- : . :-:-:.:-:.: ... : .............................. : .. : .. :::::::.:.: :.:.:.:.:.:.:.:-:.:. : . :.:.:. :.:.::::: ::::::::::::::::::::::::::::: ....... :::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::: : : : : :::::: :::::::::::::-:.: . ...... .
I: U8:::I:::M ...... ........ ..........., .. ' ........... ' .., ...,' ..... :::::::::: :.:.:.:.:.:.:.:.:.:.:.'.:.:.:::::::::::::::::::::::::::::::::::::::::::::.:.:::.:.:.:.:.:.:.:.:::.:.:.:.:.:.::::::::::::::::::::::::::::::::::::::::;::::;::: :.:.;.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:...... ::::::::::::::::::::::::::::::::::::::::::::::::::::::;:::::::::::::::::::::::::::::::::;:::::;:;;;:::::::::::;:
23. Veterans Preference
3 - 10-Point/Disability
4 - 1 O-Point Compensable
34. Position Occupied
2
1 - Competitive Service
2 - Excepted Service
38. Duty Station Code
11-0010-001
40. Agency 0
CLS
45. Remarks
46. Employing Department or Agency
3 - SES General
4 - SES Career Reserved
24. Tenure
5 - 1 O-Point Other
6 - 10-Point/Compensable/30% 1
0- None
1 - Permanent
2 - Conditional 1----,
3 - Indefinite
J
28_. _ ___ ---,
(b)(6) ]
35. FLSA Category 36. Appropriation Code
E - Exempt
N - Nonexempt
39. Duty Station (City - County - State or Overseas Location)
50. Signature/Authentication and Title of Approving Official
SE - SECURITIES AND EXCHANGE
47. Agency Code 48. Personnel Office 10
SEOO 1057
AUTHORIZING OFFICIAL
100086500
y opy
26. Veterans Preference for RIF
(b)(6)
29. Pay Rate Determinant
o
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, M iddlel
5-A. Code 5-B. Nature Of Action
NOTIFICATION OF PERSONNEL ACTION
2. Social Security Number 3. Date of Birth
6-A. Code 6-B. Nature of Action
303 RETIREMENT-SPECIAL OPTION
5-C. Code 5-0. legal Authority 6-C Code 6-0. legal Authority
USM 5 U.S.C. CHAPTER 84
5-E. Code 5-F. legal Authority 6-E. Code 6-F. legal Authority
AZM 2009-049
7. FROM: Position Title and Number 15. TO: Position Title and Number
REGIONAL DIRECTOR
06000000 OFW0345

113. ;;:asls
16.Pay Plan 17. Occ. Code r8. Grade/level 119. Step/Rate 120. Total Salary/Award 121. Pay Basis
12A. Basic Pay
11;.
11 ;. Other Pay
20A. Basic Pay 120B. locality Adj. 120C. Adj. Basic Pay 1200. Other Pay
$192193 0
14. Name and Location of Position's Organization 22. Name and location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
DIVISION OF ENFORCEMENT
OFFICE OF REGIONAL DIRECTOR (FWRO)
FORT WORTH, TEXAS
..' ........ ....................... : ..... ; ................................................... ' ...................... .., ..' ............... ............................,.,............................................., ............'.' ............. .......... . ...... . ................................................ ......... .............'.' ......,' . .................................................... ...........' ..,' ... .................... ... , .......' .....', .......... . ............., . .................
1'(b)(6) II 1 - None 3 - 10-Point/Disability 5 - 10-Point Other 2 I 0 - None 2 - Conditional I I I (b)(6) I
I' II 2 - 5-Point 4 - 10-Point Compensable 6 - 10-Point/Compensable/30% 1 - Permanent 3 -Indefinite
27. FEGU (b)(6) I 28. Annuitant Indicator 29. Pay Rate Determinant
l(b)(6) I l(b)(6) I 0 I
34. Position Occupied
1 - Competitive Service 3 - SES General
2 - Excepted Service 4 - SES Career Reserved
38. Duty Station Code
48-2450-439
40. Agency 0
CLS
45. Remarks
l(b)(6)
46_ Emploving Department or Agency
SE - SECURITIES
47. Agency Code 48. Personnel Office 10
SEOO 1057
35. FlSA Category
l(b)(6) 1 E - Exempt
36. Appropriation Code 37. Bargaining Unit Status
N - Nonexempt
39. Duty Station (City - County - State or Overseas locationl
FORT WORTH, TARRANT, TEXAS
50. Signature/Authentication and Title of Approving Official
JEFFREY A RISINGER
ASSOCIATE EXECUTIVE DIRECTOR
110512639
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 Number 3. Oate of Birth
_ J (b)(6) =t J(b)(6)

... . L. S :. .L .. ... E.:.::.:.:,.: ,:,::. R. ".:- :li: .....l:::6... : .... ... : ...:: N.:. R ...:::.:::,.:, :Y.: :::.:::,.:,::.:,.: .. ::.,:.. ::,::.::.: D.:,:,.:':'.:':'.:": . :": . :':::: .;.;.;.;:::::::::: :::::::::::::.: .. :-:.:.:.:.:. .......... .......... ::,.:.:....... .:.:.:.:.:.:.;.;.;.;.: ................... :::jXXeifiib;XXN N .."'j{:li'ii!iI:tsN .. ..,:
f::: ::;1::: M:Q::J::: w: ...... ::::;: ::::;::::::::. :.::.:.:............. fft(Q .. .. :,:.. .:Q. :.:. tnf>
5-A. Code 5-B. Nature Of Action 6-A. Code 6-B. Nature of Action
894 GEN ADJ
Soc. 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 DIRECTOR (LEGAL & DISCLOSURE) ASSOC DIRECTOR (LEGAL &
.
55400000 OIM0781 55400000 OIM0781
DISCLOSURE)
8. 110.
113. ;;:asis 16;; Plan Step/Rate 1
21
. ;;:asis
12A. Basic Pay
11;.

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
DIVISION OF INVESTMENT MANAGEMENT DIVISION OF INVESTMENT MANAGEMENT
OFF OF ASSOC DIR (LEGAL & DISCL) OFF OF ASSOC DIR (LEGAL & DISCL)
WASHINGTON, DC
.. ..
:,:,;.:,' .. , .. ,:..... ..... ..:.;. ...
:.: .: . ...... :.:.:.:.:.:.:.:.:.:.:.:.:.:.;.:.:.:.:. .:.:.'.:.:.: :.:.:.:.: :.:.:.:. ..................,.,...,',' ...., ..., .:.:...:.:.:.:.:.:.:.:.:....... ,
:::::: 111.1111:11:1:111111::::: :: <'::i: /:::::)::::\)\\::",}, ::: :.:.:.
.""",:.:::':':':::' .. ::::::::...:,:.:::.:::"':"': :::::::::::::::::::::::::::::::: :::-:::::.;.:':.;.: .;.;':':.;.;.:.;':.;.;':.:.:.:':':.;.;," :::.:.: ..,..... :::::::::::::::::::::::::::::::::::::::::::::::::::::::::>;.:......... .
........ ' ......................................................................................:.:.:.:.:.::::::::::::::::::::::::::::::::::::::::::.:.:. :::.:.:::.:::::::::::::::::::::::::::::::::::::::::::::::.':':'"
23. Veterans Preference 24. Tenure 26. Veterans Preference for RIF
@(6 J 1:
3 -10-Point/Disability 5 -10-Point Other 0 -None 2 - Conditional /-'----, [Tb)(6_)__ l
'4 - lO-Point Coml1""e"" ns."a", bl", e _ ;--::..6.:.. - __ .....L ___
Indicator
r
b
)(6)
27. FEGLI l(b)(6)

29. Pay Rate Determinant
33. Part-Time Hours Per
Biweekly
Pay Period
::::::::::::::::::::: .:':'.:':'.:':'.:'::.:'::.:.:'.:':'.:':'.:':'.:': ..:.:.:'.::'.:'
;::::::::::;:;:::::::
..
34. Position Occupied 36. Appropriation Code
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
100065546
y opy
37. Bargaini ng Unit Status
8888
Obtained by Judicial Watch October 3, 2011 through FOIA
Standard Form 50-B
Rev. 7/91
U.S. Office of Personne(Management
FPM Supp. 296-33, Subch. 4 NOTIFICATION OF PERSONNEL ACTION
1. Name (Last, First, Middle) 2. Social Security Number 3. Date of Birth
::::i\ ,::pc VmSI!lliO "'N:" :.:.:-:.: .....::::::::::.',., :::;: ::::::::::::::::..:.:::.:..' . .:...... ::::;:::::::::::::::::;:: ::::::::;.:;:::;:::: :::
.
'.:..'::.:::.':: :'.':.'.. :.: .... : ....'::.:.:::.'::.,.:., ...... ::... :, ..... ' ..... :: ., ::.: .. :, .: ........... ':':':':':':':-:"':'::::', :.:,'. :::.:::.:::.:::.:.'.:... :.::.:'.:' ........................, ..... ' ... :-.-:-:-:-:.:.:.:.:.;::.;::::::::::.::::::::::::
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
ASSOCIATE DIRECTOR ASSOCIATE DIRECTOR
55500000 OIM0901 55500000 OIM0901
8. 19. 11 O. I ;tep/Rate 11 ;;1 0
113. ;;:asis Plan Step/Rate 121. ;;:asis
12A. Basic Pay
L;;t; I;
11;. Other Pay
20A. Basic Pay
12;.
12;. Other Pay
$188060 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
DIVISION OF INVESTMENT MANAGEMENT DIVISION OF INVESTMENT MANAGEMENT
OFF OF ASSC DR (DISCL/INSR PRD RG) OFF OF ASSC DR (DISCL/INSR PRD RG)
......... ..... . ........... .................. ....... ....... ... . ... ............................................................ ................ ..
.
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23. Veterans Preference
l(b)(6) Jl 1:
I
28. Annuitant Indicator
i(b)(6)
29. Pay Rate Determinant
o I
27. FEGLI l(b)(6)

30. Retirement Plan .,.1. , 31. Service Compo Date (Leave) 32. Work Schedule 33. Part-Time Hours Per
r.:.,. (.::,.b::.:: :pi.,( ... .. 6.: l'\ ... ... ..... :.'. Ii'I!!' ..':: .:,.,::I.n. : .. :.,:....: ..N ....... : .. . '. : .. . :" .. , .. : ..... , .,::A; ... : .... .. ",( "::::':::::: .. :::.:: .' .. :: ..::.' .. ': ..':.: ..::.' ..::'.,::.:.": .. .. b . .... :,.;.:.,.:.,.:.. : .. : .. : ... : ... : ... : .. :: ..: ... : .. : ..... ......... : ... :.:', ... ,:... ... . :.:' .. :.:' ... .. : ... .... . .
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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
11-0010-001
40. Agency D
CLS
45. Remarks
(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
100068412
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)
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
ASSOCIATE DIRECTOR
55200000 OIM0782
14. Name and Location of Position's Organization
NOTIFICATION OF PERSONNEL ACTION
2. Social Security Number 3. Date of Bi rth
6-C Code 6-D. Legal Aut hority
6-E. Code 6-F. Legal Authority
15. TO: Position Title and Number
ASSOCIATE DIRECTOR
55200000 OIM0782
22. Name and Location of Position' s Organization
SECURITIES AND EXCHANGE COMMISSION
DIVISION OF INVESTMENT MANAGEMENT
ASSOC DIR-EXEMPT APPS & SP PROJECTS
SECURITIES AND EXCHANGE COMMISSION
DIVISION OF INVESTMENT MANAGEMENT
ASSOC DIR-EXEMPT APPS & SP PROJECTS
....... .... ..... ....... ........... .................... . ............ ........... I DC
.. .. ...... .................... . :.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.;.:.:."",,:.:.:.:.:.:.:.;.;.'.:.' .....................................................:.:.:.:.:.:.:.:.:.:.:.:.:.................... :.; ...... .............. :.;.;.:.:. ...... ............................................. . ....................................:.:.. ............ : .... . .
....:.: ...:.:.:... .... .. ;:;:;:;:;:;:;:;:;:;:::::::::::::;:;:;::::::::::::::::;:::;:::::::;::::::::::::::::::::::::::::::;:;:;:::::' :.:.:.:::::: :.:.:.:.:.:.:.:.:.:.:.:::::::::.:.:...... .. .. .........
23. Veterans Preference 24. Tenure 26. Veterans Preference for RIF
I 1 - None 3 - 10-Point/Disability 5 - 10-Point Other I 0 - None 2 - Conditional I I (b)(6) I
I 2 - 5-Point 4 - 10-Point Compensable 6 - 10-Point/Compensabl e/30% 1 1 - Permanent 3 -Indefinite
29. Pay Rate Determinant
[(b)(6) Indicator
IQJ
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 36. Appropri ation Code
(
b)(6) ] E - Exempt
N - Nonexempt
39. Duty Station (City - County - State or Overseas Location)
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 Offi cial
SE - SECURITIES AND EXCHANGE
47. Agency Code 48. Personnel Office I D
SEOO 1057
AUTHORIZING OFFICIAL
100063112
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
5-A. Code 5-B. Nature Of Action 6-A. Code 6-B. Nature of Action
721 REASSIGNMENT
5-C. Code 5-0. legal Authority 6-C Code 6-0. legal Authority
V5M 5 U.S.C. 3395 (A)
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 DIRECTOR (REGULATION) DEPUTY DIRECTOR
DEPUTY DIRECTOR
55300000 OIM0419 55000000 OIM0905

113. ;;:asis Plan Step/Rate 121. ;;:asis
12A. Basic Pay

11;. Other Pay
20A. Basic Pay
12;.
12$' Other Pay
$193942 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
DIVISION OF INVESTMENT MANAGEMENT DIVISION OF INVESTMENT MANAGEMENT
OFF OF ASSOC DIR (REG POLlIA REG)
..
.... .. ....................... ..... ..... ...... .. .................. ' ..............................................................
.............:::</:::::::::::::::::::::::::?:::::::::::: ::::::: :::::::: :::::::::::::::::::::::::
24. Tenure I 25. Agency Use 26. Veterans Preference for RIF 23. Veterans Preference
(b)(6) 1 - None 3 - 10-Point/Disability
I\UI\VI II 2 - 5-Point 4 -10-Point Compensable
5 - 10-Point Other I 0 - None 2 - Conditional I I II (b)(6) J-'
6 - 10-PointiCompensable/300/0 1 _J 1 - Permanent 3 -Indefinite _1
29. Pay Rate Determinant, 27. FEGLI (b)(6) I 28. Annuitant Indicator
______________________ ____________ __ ______ ______ ___
Plan . 33 . ..

34. Position Occupied
2
1 - Competitive Service 3 - .5ES General
2 - Excepted Service 4 - SES Career Reserved
38. Duty Station Code
40. Agency D
CLS
45. Remarks
46. Employing Department or Agency
35. FlSA Category 36. Appropriation Code 37. Bargaining Unit Status
(b)
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
SE - SECURITIES AND EXCHANGE JEFFREY A RISINGER
47. Agency Code 48. Personnel Office 10
SEOO 1057
ASSOCIATE EXECUTIVE DIRECTOR
111022673
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 of Birth
l(b)(6) I j (b)(6)

.. ... .. ' .. 1 ...... 1.'\: . ... E.


N
. 1.,.,.,.,. L.,.,.,.'.,.,.,E""",'...... ",. E.,. ,.,'.,'. , . , .. . .. , ... , . ,.,.,'.,'.,'.,'.. ,',:,','. p .",.",.. ,,".,... ' .. ' .' """""",,:,:::::' " . ....... ,.,.,.,.,.,:,:,.,.,::,:. {"" ',,:::,:,:'.::": ,:,',:,F.'e..t!' ... .. ,. :.A ... :.
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....................................................................... .......................................
5-A. Code 5-B. Nature Of Action 6-A. Code 6-B. Nature of Action
002 CORRECTION 101 CAREER-COND APPT
5-C. Code 5-0. Legal Authority 6-C Code 6-0 . Legal Authority
ZLM 5 USC 5376
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
DIRECTOR
55000000 OIM9999
8. Pay Planl9. Occ. Code 110. Grade/Levell 11. Step/Rate 112. Total Salary 113. Pay Basis
16;; Plan 1
21
. ;;:asis
12A. Basic Pay
I 12B. Locality Adj . 1 12C. Adj . Basic Pay 11 20. Other Pay
20A. Basic Pay
1 2$'
12;. Other Pay
0
14 .. Name and Location of Position's Organization 22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
DIVISION OF INVESTMENT MANAGEMENT
'.' ....... .... ....... :.:... ............ .................... :.
.. ....
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........:.:.:.......................... . 24. Tenure
l (h\ln b) ( 1 - None 3 - 10-Poi nt/Disability 5 - 10-Point Other I 0 - None 2 - Condit ional I I
I 2 - 5-Point 4 - 10-Point Compensable 6 - 10-PointiCompensable/30% 2 1 - Permanent 3 -Indefinite
23. Veterans Preference 26. Veterans Preference for RIF
i(b)(6) I
27. FEGLI l(b)(6) I r, 2", 8''fA", n"" nu",it ", a", nt""ln",d", ic", at ",, 0,-- r ____ __ _ 29. Pay Rate Det erminant
W
b
)(6) I
7 I
31. Service Compo Date (Leave) 32. Work Schedule 33. Part-Time Hours Per
.
':'.:.' ..:.' ... '.P ......... " ..::.:..:5' ...... . m., ... :'.:.:. I.m ...:.:..:.:. I\ ....I.:,.f. , ..f.,. ".:.:.... ::. .: "" ..: ...:::.:.,r. .: , , ,ft ... :.:,,:.:. , .. .."":'::" .. : : ..::: ....1, : .. ..... : ..:: .....:.:.,.,.,.,:,.: .... . ..... ...... :;.;.;.;.;.:.:::::::;.:::::: i : . ".,.:.,.,.. ,.F.:.:.:.::.:... ,:,:::,..... ...........
::1::: Iiii!f:n:::f:::M :.:.:.:.:.:.;.;.:.:.;.: :::::::::::.:.:........ " , ,",' ' .........','...... . ..:.:.:::::::::::-:::::::::::::::::::::::::::::':-:........... .
34. Position Occupied 35. FLSA Category
(b)(6) l Eo' Exempt
36. Appropriation Code 37. Bargaining Unit Status
1
1 - Compet itive Service
2 - Except ed Servi ce
38. Duty Station Code
11-0010-001
40. Agency 0
CLS
45. Remarks
46. Employing Department or Agency
3 - SES General
4 - SES Career Reserved N - Nonexempt
39. Duty Station (City - County - State or Overseas Locati on)
50. Signature/Authenticat ion and Title of Approving Official
SE - SECURITIES AND EXCHANGE JEFFREY A RISINGER
47. Agency Code 48. Personnel Office 10
SEOO 1057
ASSOCIATE EXECUTIVE DIRECTOR
110679430
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)
NOTIFICATION OF PERSONNEL ACTION
2. Social Security Number 3. Date of Birth
l(b)(6) J i(b)(6)
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:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:'>::::::::::::::::':',' ...... w.:u. MQ:::I :: ;:;:;:;:;:;:;:::;:;:;:;:::;::;::: ............................... ',' .... ',...,.,.,., ..., ...
5-A. Code 5-B. Nature Of Action 6-A. Code 6B. 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
ASS.oCIATE DIRECT.oR (CHIEF C.oUNSEL) ASS.oCIATE DIRECT.oR (CHIEF C.oUNSEL)
55100000 OIM0533 55100000 OIM0533
14. Name and Location of Position's Organization 22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE C.oMMISSI.oN
DIVISI.oN .oF INVESTMENT MANAGEMENT
.oFFICE .oF CHIEF C.oUNSEL
SECURITIES AND EXCHANGE C.oMMISSI.oN
DIVISI.oN .oF INVESTMENT MANAGEMENT
.oFFICE .oF CHIEF C.oUNSEL
',,', "
,
.:,.:,.:SMIl:,:Q",:,::,'",,,::,,'," ,:,:, le ,,:,:,:e. ",:":,:,.,:,:, D",:,:,',,,,:, A,',,:,.',':',)[,:,.,:,A",:":,:.,:., ,.:,:,::,::,,.,.,.,.,:,.,:,:,:,.,.,.,.,.,:,.,:,.,.,.,.,.,.,.,:,.,.,.,.,.,:,. ,),),.:,), ,. ':':::,:::::::::::::::::::::(::::::::::':':::,","""' ....,'"',"',"';':';';',':',':',',': :' ....,',':.;",' ',',',:,:,',:,:,:,',:,:,:,:,:,:,:,:,:,:,:,:,:,:,:,:,:,:':':':':':':':':' :::;:::::::::::::':':,',',", <:::}}}}}}}}.:.:::::.:}}}:::::::::::::':':,',','
I!;i; t;;i """"'" .. '.'," 26. Veterans Preference for RI F
23. Veterans Preference

l-None
I (b)(6jj 2 - 5-Point
3 - 10-Point/Disability 5 - 10-Point Other 0 - None 2 - Conditional I I (b)(6) _
4 - 1 O-Point Coml'ensable_ ---,.._6_-_1_0_-p_oi_nt.;.../C_o_m-'-pe_n_sa_b_le/ '-3_0'*_0_-+1_ J.._--,- 1_1 _-P_e_rm_a_ne_n_t_3_- l_nd_e_fin_lt_ e--'-__ --'-___ -+=====o<---'===_
27. FEGLI
1
J
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
28. Annuitant Indicator
(b)(6)
35. FLSA Category 36. Appropriation Code
(b)(6) E - Exempt
N - Nonexempt
39. Duty Station (City - County - State or Overseas Location)
WASHINGT.oN,DISTRICT .oF C.oLUMBIA
SALARY INCLUDES A L.oCALITY PAYMENT (.oR .oTHER GE.oGRAPHIC 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 I D
SEOO 1057
AUTH.oRIZING .oFFICIAL
100069168
y opy
29. Pay Rate Determinant
o I
37. Bargaining Unit Status
8888
Obtained by Judicial Watch October 3, 2011 through FOIA
Standard Form 50B
Rev. 7/91
U.S. Office of Personnel Management
FPM Supp. 29633, Subch. 4 NOTIFICATION OF PERSONNEL ACTION
1. Name llast, First, Middle)
.:.:.:.:.:.:.:.:.:.:.:. ::::::::::::::::::::::::::;:::::::::: ::::::::::::::::::;::
::::::::::;;::::::::::;:::::::::::::::::;:::;:::::;:;::::::::
5A. Code 5 B. Nature Of Action
790 REALIGNMENT
SC. Code 5 0. legal Authority
UNM MOU DATED 03/05/10
5E. Code 5F. legal Authority
7. FROM: Position Title and Number
ASSOCIATE REGIONAL DIR. (ENF)
08300000 OLA0869
14. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
DIVISION OF ENFORCEMENT
OFFICE OF REGIONAL DIRECTOR (LARO)
OFFICE OF ASSOC REG DIR (ENF) #1
2. Social Security Number 3. Date of Birth
SC Code 60. legal Authority
6E. Code 6F. legal Authority
15. TO: Position. Title and Number
ASSOCIATE REGIONAL DIR. (ENF)
08400100 OLA0869
22. Name and location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
DIVISION OF ENFORCEMENT
OFFICE OF REGIONAL DIRECTOR (LARO)
OFFICE OF ASSOC REG DIR (ENF) #1
OFFICE OF ASSOC REG DIR (ENF)
LOS ..... ..... ....
. <::::::::::::::::
23. Veterans Preference
3 1 OPoint/Disability
4 10Point Compensable
l (b)(6)[L t
27.FEciLI l(b)(6)
tb)(6) I ------
34. Positi on Occupied
3 - SES General
24. Tenure

51 OPoint Other O None 2 Conditional 1-----, (b)(6) I
6 - 10-Point/Compensable/300/0 1 1 - Permanent 3 Indefinite L
J'--..:.:.....:-=-:..::::.::::.=.::===:.::.::::.:.:.--+.2 -(b-)(--t-r-
m
.L,it-a":... . _...: _'- Rate
o
37. Bargaining Unit Status
2
1 Competitive Service
2 - Excepted Service 4 SES Career Reserved 8888
38. Duty Station Code
40. Agency D
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
101212253
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 ILast, First, Middlel 2. Soci al Security Number 3. Date of Birth
1(b)(6) I .. I(b)(6)
':':::::.:'.:.:'.:.:.::.'.'.:':.:::.::.:.::.'.::.:.::.:.::. :.::. :.:::.' ::.' :' . ::.:::.:::.:::.:::.:::.:::.:::.'::.:::.:::.:::.:::.:::.:::.:::.:::.:::.:::.:::::::::::::::.:::::::.:::.::::::::,:,::::::::::::::XXX
S
' ..... ,t:.' .... ...::.. .... : .. X... N:X :.:...:,. i!<Si .:. : .. .:::,:r:,.;:A. :.:- .. ,:-. .. ..::..: 11 .:..:.:.:::::'::::::::::::::.:::.:::.:.: .. :::':::':':':::':::':':':':'.:.','.:::'.':'.::'.:.'.:.'.:
u. U MW::: I:: Y.
5-A. Code 5-B. Nature Of Action 6-A. Code 6-B. Nature of Action
002 CORRECTION 702 PROMOTION
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
SUPERVISORY TRIAL ATTORNEY ASSOCIATE REGIONAL DIR. (ENF)
08350100 OLA0101 08300100 OLA0869
8. 19. 11 O. 1 ;tep/Rate 11 $ 5
113. Plan Step/Rate 121.
12A. Basic Pay
;i6 I;
11;. Other pa
y
_
o
20A .. Basic Pay
12;.
12;. Other Pay 0
$167359 $177401
14. Name and Location of Position's Organization 22. Name and Location of Position's Organization
DIVISION OF ENFORCEMENT SECURITIES AND EXCHANGE COMMISSION
OFFICE OF REGIONAL DIRECTOR (LARO) DIVISION OF ENFORCEMENT
OFFICE OF ASSOC REG DIR' (ENF) #1 OFFICE OF REGIONAL DIRECTOR (LARO)
OFFICE OF ASSOC REG DIR (ENF) #1 OFFICE OF ASSOC REG DIR (ENF) #1
TRIAL UNIT OFFICE OF ASSOC REG DIR (ENF) #1
.. .......... .. ... .. .... .. .....
...::::::::::::: .. :/::::::::::. ir::::U UUU:ii/ii:::i:i/:: :::: :\::rrr::rr
23. Vet erans Preference 24. Tenure 25. Agency Use 26. Veterans Preference for RIF

._ 4 -10-Point Compensable 6 - 10-Point/Compensable/30% 1 -Permanent 3 -Indefinite I
Annuitant Indicator 29. Pay Rate Determinant
(b)(6)
o
30. Retirement Plan 31 . Service Camp. Date (Leave) 32. Work Schedule 33. Part-Time Hours Per
t.( .. .. :". )P.( ....6.: .. 0 ..).:: .. .. S.:. ...... J'T.' .'.' .. ,.,. . ".. :.:: .....N ... ... : ... " .. ::.: ...: ' .' :a: : . . : .. :: .' . 'T. .,... :.,.,,:1\ .' ...... ' :' .. :.:., .. .. ; .. ... .. .. .. , .. : .. : .. .. : .. .. .. .. ..I.:.:....... :. \::: ""; . ............ / ..... : ....... : ...... /./. /' ......... ..
::1::: w: wm::I:::m ................................................................................... : ......................... -:-:-:-:-:.:.:-:-:-:-:-:-:.:.:-:-:-:-:.:-:-:-:-:.:.:.:.:.
34. Position Occupied
2
1 -Competitive Service
2 -Excepted Service
38. Duty Station Code
40. Agency 0
CLS
45. Remarks
L
46. Employing Department or Agency
SE - SECURITIES
3 -SES General
4 -SES Career. Reserved
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
101765120
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 Number 3. Date of Birth
::: If,j:IIWti:ii::: i::>::::::::::::::::::::)r::::::::::::::::::::
5-A. Code 5-8. Nature Of Action 6-A. Code 6-B. Nature of Action
(b)(6)
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
ASSOC REGIONAL DIRECTOR (EXAM)
08200000 OLA0688
14. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
DIVISION OF ENFORCEMENT
OFFICE OF REGIONAL DIRECTOR (LARO)
OFFICE OF ASSOC REG DIR (REG)
6-C Code 6-0. Legal Authority
6-E. Code 6-F. Legal Authority
15. TO: Position Title and Number
ASSOC REGIONAL DIRECTOR (EXAM)
08200000 OLA0688
22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
DIVISION OF ENFORCEMENT
OFFICE OF REGIONAL DIRECTOR (LARO)
OFFICE OF ASSOC REG DIR (REG)
.. / ......... .... .... . ... !J.()S ANGELES.' CALIFOru.'IIA
.
:.:.:.:.:.:.:.:. E ....: .. :D ..... .. : .....e ... : ... :.:.ll ... .... :.::.....:.: .. .... :.:.c ....:.:.e ... :.:.:.:.:::N ... :.:...: .. :A..: ....:.:!!!t.'.::: :.::) . :'."': . ::.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.::'.::'. ? ://: ::::.::.:?::.:.:.::.::....... : .. : .. : .. : .. : .. : .. : .. : .. : .. : .. : ... : .. :',:: . :: .. :::.:::.:::. :: . :: .. : .. ::.:::.:::.:::.::..:.::::.:.:: ::::::::::::.:.:........ ... ....... ,' ..........:.:.:.:.:.:.:::::::::::::::::::::::::::: :::::::::::::::::::::::: :::::::::::: ::::::::::::::::::::::: ::::::::::::::::/ :::\::::::::::::.;.;........ . .
,w" :w. .............:.:.:.:.:.:.:.:.:::.:.::::.;.:............................................................,'.:.'.:.:.:::::::::::::::::::::::::::::::::::::::::::::;::::::::::::::::::::;:;:::;:;:;:;:;:;
""""":"':':':::::::;:::::::::::::::-:
,'.:.:.::::::.:.:.:.:.:.:.:.:.:.:.:-:.::::::::::::::::::::::::::::::::::::::::::::::::::::::::::;:::::::::::::::
26. Veterans Preference for RIF 23. Veterans Preference 24. Tenure
3 - 10-Point/Disability 5 - 10-Point Other 0 - None 2 - Conditional (b)(6)
, __ - 10-E'OintlComnen.ableI30,...;. %'---f-:-:1:--:---lL.......;.1_-_p.:..:er"'m.:..:an"'e"'nt'---"3_-.':..In..:.de.':..f''-ino'''te:........JL--_--L ___
34. Position Occupied
2
1 - Competitive Service
2 - Excepted Service
38. Duty Station Code
06-1980-037
40. Agency D
CLS
45. Remarks
46. Employing Department or Agency
3 - SES General
4 - SES Career Reserved
28. Annuitant Indicator 29. Pay Rate Determinant
(b)(6)
35. FLSA Category 36. Appropriation Code
(
b) E - Exempt
N - Nonexempt
39. Duty Station (City - County - State or Overseas Location)
LOS ANGELES/LOS ANGELES/CALIFORNIA
50. Signature/Authentication and Title of Approving Official
o
33. Part-Time Hours Per
Biweekly
........
37. Bargaining Unit Status
8888
SE - SECURITIES AND EXCHANGE JEFFREY A RISINGER
47. Agency Code 48. Personnel Office 10
SEOO 1057
ASSOCIATE EXECUTIVE DIRECTOR
101453699
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
REGIONAL DIRECTOR
08000000 OLA0686
14. Name and Location of Position's Organization
NOTIFICATION OF PERSONNEL ACTION
2. Social Security Number 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
15. TO: Position Title and Number
REGIONAL DIRECTOR
08000000 OLA0686
22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
DIVISION OF ENFORCEMENT
SECURITIES AND EXCHANGE COMMISSION
DIVISION OF ENFORCEMENT
OFFICE OF REGIONAL DIRECTOR (LARO) OFFICE OF REGIONAL DIRECTOR (LARO)
23. Veterans Preference 24. Tenure 26. Veterans Preference for RIF
1 - None 3 - 10-Point/Disability 5 - 1 O-Point Other
1
0- None 2 - Conditional f----, (b)(6)
2 - 5-Point 4 - 10-Point Compensable 6 - 10-Point/Compensable/30% 1 - Permanent 3 - Indefinite
(b)(6) 28. Annuitant Indicator
(b)(6)
34. Position Occupied 35. FLSA Category 36. Appropriation Code
2
1 - Competitive Service 3 - SES General --- E - Exempt
2 - Excepted Service 4 - SES Career Reserved ~ N - Nonexempt
38. Duty Station Code 39. Duty Station (City - County - State or Overseas Location)
06-1980-037
40. Agency D
CLS
45. Remarks
LOS ANGELES,LOS ANGELES,CALIFORNIA
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 1057
AUTHORIZING OFFICIAL
100064434
y opy
29. Pay Rate Determinant
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 3. Date of Birth
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
REGIONAL DIRECTOR REGIONAL DIRECTOR
03000000 OAR0314 03000000 OAR0314

113. ;;:asls 16;; Plan Step/Rate 1
21
. ;;:asis
12A. Basic Pay
11;.
11;. Other Pay
20A. Basic Pay
12;.

1 2;. Other Pay
$182064 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
DIVISION OF ENFORCEMENT DIVISION OF ENFORCEMENT
OFFICE OF REGIONAL DIRECTOR (MIRO) OFFICE OF REGIONAL DIRECTOR (MIRO)
... .. .. ............ ,.,.,............. ,' .....' ................. ........................................................ .... .. ...
:
'.:::.::'.:::.:E ... : .. 'M ..: ..:.: ...b ...:: .. : ..:.i:=:.,.'.:tS ...:.,:..:.::v. .:..: ..... : ... :. i!!!E,:.'.:., .,A ........:'.rr..' .... '.':,.::.:A.: .. :.:.:'.':: :,)"::{{,)):,, .".':.".:'.".".".':.".". " .". ".':.': :.:.:.: .. :.:.:.:.:.:.:.:.: ............... :-:-:-::::::::,: ::::::::::-:::-::::::':::::::':::::':':':':':':':"" """"': :::::r:::::\.::-:::::::::::::: ,',',',',)))))))),,',:,',',,:,:,::::::.:.:........ ..... ':.=:.':.:'.::.:.::.'.:.:.'.'.:.:.'.'.'.:.'.'.:.:.:.:.'.:. :.::.:.:. :.'. :.:. : '.:.. '.:.. '., .. '.:.. :.:.. :.::.: .: ..
Uf!!\:,{:,M :-:-:-:':-:':::'::,:,':::",::,:::--:::::{':::'):': ,::::::::":""",,,:,:,:::,:,:,:,:,:,-: :.............. 26. Veterans Preference for RIF
5 - 10-Point Other I 0 - None 2 - Conditional I I l(b)(6)
23. Veterans Preference
r(O){Ofll 21 _- O-Point/Disability
6 - 10-Point/Compensable/300/0 1 1 - Permanent 3 - Indefinite
28. Annuitant Indicator 29. Pay Rate Determinant
' H L _ 4 - 1 O,-Point Compensable
27. FEGLI I
j(b)(6) -n
I (b)(6)
o I
34. Position Occupied 36. Appropriation Code 37. Bargaining Unit Status
, - Competitive Service 3 - SES General
2 - Excepted Service 4 - SES Career Reserved
38. Duty Station Code
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
50. Signature/Authentication and Title of Approving Official
JEFFREY A RISINGER
ASSOCIATE EXECUTIVE DIRECTOR
110120798
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 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
ASSOCIATE REGIONAL DIRECTOR (ENF)
01500000 ONY1094
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) #3
6-C Code 6-0. Legal Authority
6-E. Code 6-F. Legal Authority
15. TO: Position Title and Number
ASSOCIATE REGIONAL DIRECTOR (ENF)
01500000 ONY1094
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) #3

23. Veterans Preference 24. Tenure 26. Veterans Preference for RIF
3 - 10-PointJOisability
4 - 10-Point Compensable
2
1 - Competitive Service
2 - Excepted Service
3 - SES General
4 - SES Career Reserved
38. Duty Station Code
36-4170-061
40. Agency D
CLS
45. Remarks
5 - 1 O-Point Other
6 - 10-PointiCompensable/30%
o - None 2 - Conditional 1-----.
1 - Permanent 3 - Indefinite 1
28. Annuitant Indicator
i(b)(6)
39. Duty Station (City - County - State or Overseas Location)
NEW
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
100074870
y opy
'(b)(6)
- 8888
RI
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)
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
REGIONAL DIRECTOR
01000000 NY-1090
14_ Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
DIVISION OF ENFORCEMENT
OFFICE OF REGIONAL DIRECTOR (NYRO)
34. Position Occupied 35_ FLSA Category
2
1 - Competitive Service
2 - Excepted Service
3 - SES General
4 - SES Career Reserved
38_ Duty Station Code
36-4170-061
40. Agency
CLS 00
45. Remarks
46_ Employing Department or Agency
SE - SECURITIES AND E X C ~ G E
47. Agency Code 48. Personnel Office 10
SEOO 1057
2 _ Social Security Number 3_ Date of Birth
6-C Code 6-0_ Legal Authority
6-E_ Code 6-F_ Legal Authority
15. TO: Position Title and Number
REGIONAL DIRECTOR
01000000 NY-1090
.22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
DIVISION OF ENFORCEMENT
OFFICE OF REGIONAL DIRECTOR (NYRO)
36. Appropriation Code 37. Bargaining Unit Status
50_ Signature/Authentication and Title of Approving Official
JEFFREY A RISINGER
ASSOCIATE EXECUTIVE DIRECTOR
101510240
y opy
8888
Obtained by Judicial Watch October 3, 2011 through FOIA