Standard Form 50-B

Rev_ 7/91
U_S_ Office of Personnel Management
FPM Supp_ 296-33, Subch_ 4
1_ Name (Last, First, Middlel
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
DEPUTY DIRECTOR, OIA
68000000 IA-001A
14_ Name and Location of Position's Organization
NOTIFICATION OF PERSONNEL ACTION
3 _ Date of Birth
6-C Code 6-0_ Legal Authority
6-E_ Code 6-F_ Legal Authority
15. TO: Position Title and Number
DEPUTY DIRECTOR, OIA
68000000 IA-001A
22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
OFFICE OF INTERNATIONAL AFFAIRS
SECURITIES AND EXCHANGE COMMISSION
OFFICE OF INTERNATIONAL AFFAIRS
23_ Veterans Preference
1'(b)(h 1 - None 3 - 10-Point/Disability
~ I 2 - 5-Point 4 - 10-Point Compensable
27_ FEGLI ",1(b
CL
)(=6L.-) ____ -----"1 28_ Annuitant Indicator
1 ~
(b)(6)
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
100067822
y opy
29_ Pay Rate Determinant
o I
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
1_ Name (Last, First, Middle)
NOTIFICATION OF PERSONNEL ACTION
2_ Social Security Number 3, Date of Birth
l(b)(6) I HI(b)(6)

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..................... .............. ..
5-A. Code 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
DIRECTOR OF INTERNAT'L AFFAIRS DIRECTOR OF INTERNAT'L AFFAIRS
68000000 OIAOO01 68000000 OIAOO01

/13. ;;:aSiS 16;; Plan Step/Rate /21. ;;:asiS
12A. Basic Pay
11;.
11;. Other Pay
20A. Basic Pay
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 INTERNATIONAL AFFAIRS OFFICE OF INTERNATIONAL AFFAIRS
... ............................... .. ,' ......................... , ....., .............. .......................... , .... . ... ..... ...... .................. ................................................................................
: ,:., .:., .:.,.:.S,: ..I\I.I ,:"::""b,:::::':',,,.,.:,••• ,'i'S ,.",:,::,',:':.v. ,::'"',', .• ".::,.:,.::;t:"",::.,.,::.,::.,:::,.::,.:.,.:. :. , ::., ::.,::.,.:. :::::::.:.:.::::':':':':' ...... ,',',',' .. ,' ,',":.:.:.:.:.: ••:\ :,':' :' :':,':'::,',":':.;':':':':':'::::::.::: :::::::::::::::.:.:::::.:::::::::::::::::::::::.::::::':': ...... " :',':',':-,':',':', ' :' , '" ,I,:,: :':':':':':' ............,',',',',',',',',' ....,',',',',', ' .. ,',',',' ..':::..... ,:':,',','., , .. . ,.,',.' ...... ' ........,: .. ,:':,',:':':':':':':':':':':':':':':':':.;':.;.;.;':':':':': ...... '.
23. UM:.: ••:.M .:.:.:.:::.:::.:.:::.:.:::::::.:::::':::.:.:.::: ,'....,:..,:':':,',:':':':':':':':':':':':': .. ,' ',',',',',',',',' .... :.:. : •••:: •••••:{ •• ••: ••••••••••••: •••••••••••: ••• : ••••••••••••: •••••••• 26. Veterans Preference for RIF
1 - None 3 -10-Point/Disability 5 - 10-Point Other I 0 - None 2 - Conditional I I I (b)(6) __
lillLJ ",, _= ,,--.....,..,. I , 2 - 5-Point 4 - 10-Point Compensable 6 - 10-Point/Compensable/300/0 2 1 - Permanent 3 -Indefini te I I
r
b
)(6) ' l l(b)(6) _ I _ _ _
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 (b)(6) I E - Exempt 8888
____ ___ ___ 4_-_S_E_S_C_ar_ ee_r_R_ es_eN_e_d __ __ __ ____ ______________________ ______________ ___
38. Duty Station Code 39. Duty Station (City - County - State or Overseas Location)
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
47. Agency Code 48. Personnel Office 10
SEOO 1057
AUTHORIZING OFFICIAL
100073650
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
I(b=)(6=) ==c=It;mmt;ttEtEEttm7E7
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
DIRECTOR
42000000 OCN0050
14. Name and Location 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
DIRECTOR
42000000 OCN0050
22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
OFF OF INVESTOR EDUCATION & ADVOCACY
SECURITIES AND EXCHANGE COMMISSION
OFF OF INVESTOR EDUCATION & ADVOCACY
, DC;........................................................... ................. .
mSMeCmMSe::Qlml\";:;:"'" """".,.. :((::}}}:::::::::::UU:::::://., '\(,:((((:::::::',.,'" :;::,'"',',,,,',',',.... . ..................... ::::: ...::::.::::::::':::::.:.:........................... ...,.,... ,.,.,.,
23. Veterans Preference .... ...... ........... 24. Tenure 26. Veterans Preference for RIF
11h\11l (b)( I 1 - None 3 - 10-Point/Disability 5 - 10-Point Other 0 - None 2 - Conditional I I (b)(6)
.::: l":".'.J =::::""...L,-; .... __ ... oi ... nt'-' C ... o ... 6 - I.L I 1 - Permanent 3 -Inaefinite _
27. FEGLI l(b)(6) I 28. Annuitant Indicator 29. Pay Rate Determinant

l(b)(6)
1 len
. . .. .1 31. Service Compo Date (Leave) 32. Work Schedule 33. Part-Time Hours Per
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;:1::: :w W:M::I::M :.:.:.:.:.:.:.:.:.:.:':::.:::::::::::::::::::::::::;:::::;:::::::;:;:::::::::::;:;:::;:::::::;:;:;:;:;:::;:::;:;:;:::;:;:;:;:;:;:;:;:;:;:;:;:;:;:;:;:;:;:;:;:;:;:;::::::::::::::::.:.:.
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. Appropriation Code
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
100076552
y opy
37. Bargaining Unit Status
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. 110-409
5-E. Code 5-F. Legal Authority
7. FROM: Position Title and Number
INSPECTOR GENERAL
67000000 OIG0031
14. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
OFFICE OF INSPECTOR GENERAL
30. Retirement Plan, _______ ----.
t
b
)(6)
. .. '11"::1 .. : ft .. i«I':' :. ) 8. ': ::: .:.: : .:... . ... .. . :.:.:.:.: ::::\:::' .. ..
:w u :n::::f::n :::::::::::::::::::::::;:;:;:;:;:;:;:;:::::;:::::::::;:::::::;:;:;:;:;:;:;:;:;:;:;:::::::;:;:;:;:; ;:;:::;:;
34. Position Occupied
2
1 - Competitive Service
2 - Excepted Service
38. Duty Station Code
40. Agency D
CLS
45. Remarks
46. Employing Department or Agency
3 - SES General
4 - SES Career Reserved
SE - SECURITIES AND EXCHANGE
47. Agency Code 48. Personnel Office 10
SEOO 1057
2. Social · Security Number 3. Date of Birth
mmmJ ...
6-C Code 6-0. Legal Authority
6-E. Code 6-F. Legal Auth<;>rity
15. TO: Position Title and Number
INSPECTOR GENERAL
67000000 OIG0031
22. Name and Location of Position's Organization
.-.:.-.:.:.:.:.:.:.:.:.:.".:.".:.:.:.:.:.:.:.:.:::.::::::::::::::::::::::::::::;:::;:;:;:;:;:;:;:;:;:;:::
SECURITIES AND EXCHANGE COMMISSION
OFFICE OF INSPECTOR GENERAL
50. Signature/Authentication and Title of Approving Official
AUTHORIZING OFFICIAL
100084939
y opy
D
33. Part-Time Hours Per
Biweekly
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 SecurityN "'u"m"b"er __ --, of Birth
.. ,""',", ...... ," ,.;,.;.;""H
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 REGIONAL DIR (ENF) ASSOCIATE REGIONAL DIR (ENF)
15200000 OPR0112 15200000 OPROl12
14. Name and Location of Position's Organization 22. Name and Location of Posit ion's Organization
SECURITIES AND EXCHANGE COMMISSION
DIVISION OF ENFORCEMENT
SECURITIES AND EXCHANGE COMMISSION
DIVISION OF ENFORCEMENT
OFFICE OF REGIONAL DIRECTOR (PLRO)
OFF OF ASSOC REG DIRECTOR (ENF)
OFFICE OF REGIONAL DIRECTOR (PLRO)
OFF OF ASSOC REG DIRECTOR (ENF)
.. .... .
' ...., ..., ............... , ................. , .... ' ....... .. .... ........ ............ ............................... . .. . ......................... :.:.;.;.:.::: ........ " ...... ,'. ,',. ',' .. :.;....... . . ........... : ..... , ...:.:.:-:-:-:-:-:-:-:-:-:::::::::::.:.:...... . '."
••: •• ....: .• .•• . :/: ::::.:::::}}/}},::::,),: ",..., "" ':::'}:::::::::::::::::::::::}:}}:::::"":::'::':::::' :'}.<.:/ • ..., •.•.'...... • •.•., ... , .....,',',',',',',',',',',',',',',',',',',',',.,',.,.,.,',.,...,',',',',',',',',',',',',',',', .::.::.::.::.::.::.::.::. ::.::.::.:::.:.:::.: .':.::.::.::.:'.::. ::.:'.::.::.::.':.". ".::.::.::.::.::.::.::.::.::.::. ::.::.::.::.::.::.::.::.::. ::.::.::.:'.::.:: .: :."
',',',',',',',',',',',',',',','.',',',',',',',',',',',E"" """"""""""" "" ';""""""""'"
24. Tenure 25. Agency Use (b\-(6)·t.,.n,.,p--,"f",eor."-.fn, RI El.
(h\7RTl
b) (6 I ! 1 -- I None 3 - 10-PointlDisability 5 - 1 O-Point Other 1 J 0 - None 2 - ConditiO. nal I I
...-L __ ...L... __ ---j!-=-=--=--=---=_----:-___ :
27. FEGLI l(b)(6) -- I 2-8 __ _____ ----, 29. Pay Rate Determinant
23. Veterans Preference
[i§)(6) ] (b)(6) I
o I
33. Part-Time Hours Per r30. Retirement Plan I 31. Service Compo Date (Leave) 32. Work Schedule
.. ::::::. H
34. Position Occupied
1 - Competitive Service 3 - SES General
2 - Excepted Service 4 - SES Career Reserved
38. Duty Station Code
42-6540-101
40. Agency D
CLS
45. Remarks
35. FLSA Category 36. Appropriation Code
l(b)(6) E - Exempt
N - Nonexempt
39. Duty Station (City - County - State or Overseas Location)
PHILADELPHIA,PHILADELPHIA,PENNSYLVANIA
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
100065155
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, 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
REGIONAL DIRECTOR
15100000 OPROl12
NOTIFICATION OF PERSONNEL ACTION
2. Social Security Number
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 Authority
15. TO: Position Title and Number
REGIONAL DIRECTOR
15100000 OPROl12
8. 110. 113. ;;:asis 16;; Plan Step/Rate 121. ;;:asis
12A. Basic Pay


11;. Other Pay
20A. Basic Pay
12;.
12;. Other Pay
$182767 0 $189425 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 (PLRO) OFFICE OF REGIONAL DIRECTOR (PLRO)
PHILADELPHIA,PENNSYLVANI PHILADELPHIA,PENNSYLVANI
..................................................... ................................. ....... ............................................... ............................................ ..............................................................................................
28. Annuitant Indicator 29. Pay Rate Determinant
'(b)(6)
o I
30. Retirement Plan . ..1.. 32. Work Schedule 33. Part-Time Hours Per
H
34. Position Occupied
2
1 -Competitive Service
2 -Excepted Service
38. Duty Station Code
40. Agency D
CLS
46. Employing Department or Agency
3 -SES General
4 -SES Career Reserved
35. FLSA Category 36. Appropriation Code 37. Bargaining Unit Status
8888
PHILADELPHIA, PHILADELPHIA, PENNSYLVANIA
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
110845722
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 DIR
15300000 OPR0154
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
(EXAM) ASSOCIATE REGIONAL DIR (EXAM)
15300000 OPR0154
8. 1
10
• I 0
Plan Step/Rate
12A. Basic Pay
11;.
I;
11;. Other Pay
20A. Basic Pay

12;. Other Pay
$187464 0 $190276 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 (PLRO) OFFICE OF REGIONAL DIRECTOR (PLRO)
OFF OF ASSOC REG DIRECTOR (EXAMS) OFF OF ASSOC REG DIRECTOR (EXAMS)
.... .. '" " ................................... . ......... .................. ................................ '.' ................
23. Veterans Preference 24. Tenure 26. Veterans Preference for RIF
n 1 • None 3 • 1 O·Point/Disability __ -' 5:.... • ....: 1T-0 • '-L. __ -I'I --= (b-:- )(--=6,- ) -=-
I;;;; 2· 5·Point 4· 10·Point Compensable 6· 10·Point/Compensable/30% 1 • Permanent 3 • Indefinite -.J
27. FEGLI 28 .. -.AnnuJtantlndlcJl.tQ,-- r _ ___ 29. Pay Rate Determinant
l(b)(6) : (b)(6) I
33. Part· Time Hours Per
Biweekly
34. Position Occupied
1 • Competitive Service 3· SES General
2 • Excepted Service 4 • SES Career Reserved
38. Duty Station Code
42-6540-101
40, Agency D
CLS
45. Remarks
l(b)(6)
E· Exempt
N • Nonexempt
39. Duty Station (City· County· State or Overseas Location)
PHILADELPHIA,PHILADELPHIA,PENNSYLVANIA
SALARY INCLUDES A LOCALITY PAYMENT (OR OTHER GEOGRAPHIC ADJUSTMENT)
APPLICABLE IN THIS AREA.
46. Employing Department or Agency
SE - SECURITIES AND EXCHANGE
47. Agency Code 48. Personnel Office 10
SEOO 1057
60. Signature/Authentication and Title of Approving Official
AUTHORIZING OFFICIAL
100065386
y opy
... ..
37. Bargaining Unit Status
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) 2. Social Security Number 3. Date of Birth 4. Effective Date
.. ....... :::} 2 /1 9 /1 0
5-A. Code 5-B. Nature Of Action 6-A. Code 6-B. Nature of Action
002 CORRECTION 760 EXT OF APPT NTE 12-31-11
5-C. Code 5-0. Legal Authority 6-C Code 6-0. Legal Authority
W9S SCH A, 213.3102 (R)
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
SENIOR POLICY ADVISOR TO THE DIRECTOR SENIOR POLICY ADVISOR TO THE DIRECTOR
35000000 ORSOO01 35000000 ORSOO01
8. ;;
lan
I9. 11 O. I ;tep/Rate 11 ;0;1 8 113. ;;:asis 1 Plan 17 118. Step/Rate 121. ;;:asiS
12A. Basic Pay
11;.
11;. Other Pay
20A. Basic Pay
12;.
12$' Other Pay
$189525 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
DIV OF RISK, STRATEGY, AND FINANCIAL DIV OF RISK, STRATEGY, AND FINANCIAL
WASHINGTON, DC
.. ................. ........ . . . . . . . . . . . . . . . . . . . . ... . .......................................................................................................
23. Veterans Preference
--f(b)I-n 1 - None 3 - 10-Point/Disability
2 - 5-Point 4 - 1 O-Point Compensable
27. FEGLI l(b)(6) I

34. Position Occupied
2
1 - Competitive Service
2 - Excepted Service
38. Duty Station Code
11-0010-001
40, Agency D
CLS
46. Employing Department or Agency
3 - SES General
4 - SES Career Reserved
e c"'---=-""- .J..Z':I.-'---,I 42.
5 - 1 O-Point Other
6 - 10-Point/Compensable/30%
SE - SECURITIES AND EXCHANGE
47. Agency Code 48. Personnel Office 10
SEOO 1057
24. Tenure
O-None
I':> I 1 - Permanent
28. Annuitant Indicator
(b)(6)
29. Pay Rate Determinant
r--o--l
33. Part-Time Hours Per
........... ..
37. Bargaining Unit Status
50. Signature/Authentication and Title of Approving Official
JEFFREY A RISINGER
ASSOCIATE EXECUTIVE DIRECTOR
110075359
y opy
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)
5-A. Code Of Action
(b)(6)
881
5-C. Code 5-0. Legal Authority
DPM 5 U.S.C. CHAPTER
5-E. Code 5-F. Legal Authority
7. FROM: Position Title and Number
SENIOR ADVISOR
35100000 ORA0012
14. Name and Location of Position's Organization
I
87
SECURITIES AND EXCHANGE COMMISSION
DIV OF RISK, STRATEGY, AND FINANCIAL
OFFICE OF RISK ASSESSMENT
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
SENIOR ADVISOR
35100000 ORA0012
22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
DIV OF RISK, STRATEGY, AND FINANCIAL
OFFICE OF RISK ASSESSMENT
..!.NGTON ,
)(6) I 21 -_ N
5
_o
p
n
O
e"nt 3 - 10-Point/Disability 5 - 10-Point Other 0 - None 2 - Conditional I I (b)(6) I
I 1\ v I II 4 - 1 O-Point ___ _+1-::-:- .L-,--L 1_1_-_P..::::er..:..m"'anc..:e..:..nt'---'3..:..-..:..ln..:..d..::::ef..:..in..:..ite'--"--_----''--__ -+-=-=--=---=-----=_ ----c-___ '-
27. FEGLI l(b)(6) I 28. Annuitant Indicator 29. Pay Rate Determinant
(b)(6) i(b)(6) IOl
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
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
110061532
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, Middlel
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
DIRECTOR
35100000 ORA0001
14_ Name and Location of Position's Organization
NOTIFICATION OF PERSONNEL ACTION
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
DIRECTOR
35100000 ORA0001
22_ Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
DIV OF RISK, STRATEGY, AND FINANCIAL
OFFICE OF RISK ASSESSMENT
SECURITIES AND EXCHANGE COMMISSION
DIV OF RISK, STRATEGY, AND FINANCIAL
OFFICE OF RISK ASSESSMENT
29. Pay Rate Determinant
o I
33_ Part-Time Hours Per
Biweekly
... .......... ........ ..
....... .
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
l
(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
100075482
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
790 REALIGNMENT
5-C. Code 5-0. Legal Authority 6-C Code 6-0. Legal Authority
UNM MOU DATED 03/05/10
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 (ENF) ASSOCIATE REGIONAL DIRECTOR
10100000 OSF0809 10100100 OSF0809
(ENF)
8. Pay Planl9. Occ. Code 110. Grade/Level 111. Step/Rate 112. Total Salary
SO 0905 02 00 $230700
113. ;;:asis 16;; Plan Step/Rate 121. ;;:asis
12A. Basic Pay

11;. Other Pay 0
20A. Basic Pay
r;'
12;. Other Pay 0
$188045
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 (SFRO) OFFICE OF REGIONAL DIRECTOR (SFRO)
OFF OF ASSOC REGIONAL DIR (ENF) OFF OF ASSOC REGIONAL DIR (ENF)
SAN FRANCISCO, CALIFORNIA SAN FRANCISCO, CALIFORNIA
.... ,', ..........................' ...' ....,' ...'.' ....................................................................................................................................................................................
23. Veterans Preference
I
(bbH) (66)) r l 1 - None 3 -10-Point/Disability
='-'-=-'---J 2 - 5-Point 4 - 1 O-Point Compensable
.. .. :;;;;..;.;.:.;.;.:.:.;.;......... :.:.:.:.:.:::.:::.::::::::::::::::: .'.'.:.:.:.:.'.'.'"
.....
5 - 1 O-Point Other
6 - 10-Point/Compensable/30%
24. Tenure
O-None
I J. I 1 - Permanent
27. FEGLI l(b)(6) I
l(b)(6)
28. Annuitant Indicator
(b)(6)
29. Pay Rate Determinant
o I
33. Part-Time Hours Per
Biweekly
. . ....................................................................................... ) ... ..................· ...···
30. Retirement Plan J31. Service Compo Date (Leave) 32. Work Schedule

I t!.:JFULL-TIME
O'C!IT-lma:ln:1£:Tft .... :.:.:.:.:.::.:.::.:.:.:.:.....::::::::::.\t::::::::::::;;::;::::;::;;:;:;:;;;;;;;;;; ........... N •••••••••• ••..
{:::: ........... :Q: ·:1:·: "'U:w:::::W"::. ••••:.:.••.........................................................................................................................
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
40. Agency 0
CLS
45. Remarks
46. Employing Department or Agency
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
101354088
y opy
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
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 5-0. Legal Authority
ZLM P.L. 107-123
5-E. Code 5-F. Legal Authority
7. FROM: Position Title and Number
REGIONAL DIRECTOR
10000000 OLA0687
14. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
DIVISION OF ENFORCEMENT
OFFICE OF REGIONAL DIRECTOR (SFRO)
6-C Code 6-0. Legal Authority
6-E. Code 6-F. Legal Authority
15. TO: Position Title and Number
REGIONAL DIRECTOR
10000000 OLA0687
22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
DIVISION OF ENFORCEMENT
OFFICE OF REGIONAL DIRECTOR (SFRO)
.. ............................................................................. ....
i]iMRti(;):MI:e.rllitI11¥}}irr / :r> ....... :.::: :..:.:.... :.:.: .. :::..:::.: .. :.: .... .
23. Veterans Preference 24. Tenure 26. Veterans Preference for RIF
1 - None 3 - 10-Point/Disability 5 - 1 O-Point Other 0- None 2 - Conditional 1-----,
2 - 5-Point 4 - 1 O-Point Compensable 6 - 10-Point/Compensable/300/0 1 - Permanent 3 - Indefinite
27. FEGLI (b)(6) 29. Pay Rate Determinant
______ ______ __
_____ ----, 31. Service Compo Date (Leave) 32. Work Schedule 33. Part-Time Hours Per
] [(b)(6) I ULL-TIME .HH.H .....
:::::ir
34. Position Occupied 35. FLSA Category
E-Exempt
36. Appropriation Code 37. Bargaining Unit Status
1 - Competitive Service 3 - SES General
2 - Excepted Service 4 - SES Career Reserved
38. Duty Station Code
06-3290-075
40. Agency D
CLS
46. Employing Department or Agency
N - Nonexempt
39. Duty Station (City - County - State or Overseas Location)
SAN FRANCISCO,SAN FRANCISCO,CALIFORNIA
50. Signature/Authentication and Title of Approving Official
SE - SECURITIES AND EXCHANGE JEFFREY A RISINGER
47. Agency Code 48. Personnel Ottice ID
SEOO 1057
ASSOCIATE EXECUTIVE DIRECTOR
100888665
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
':'.':'.':'.':'.':'.':'.':'.':'.':'.':'.':'.':.:.'::.'::.'::.'::."':'.':'.:':':':':':'.:':'.:':'.: ' :'.:':'.:' .:'.:':'.:'::.:'.:'.:'.:'.:'.:'.':'.:'.:'.:'.:'.:'.:'.:,axx.· ... ·:'e .... :n:: ••·.: ••••·:·.:'-.ii!"i;.··:.:::X.·.·.N::;x: .• ·:ti .. :::l .(.".: b.: ,.: :.::: :.:j{ ...( : ... .•-: .•::1!'.::.: ..• : .• ::.f ..::.ft.::: ..: .... ::N
i
...:.:.:'.'.:'.:'.:'.:'.:'.:'.:'.:'.:'.:': .. :.:'.:'.:':'.:':' 1.( ...... b ... : ..:.) .. .. :.(. :.6 ..... :: ... ): ... :: ... : ... : ...: ... : ...: ... : ... : ... : ... : ... : ... : ... : ... : .......: ...: ...: ...: ...: ...: ...: ... : ...: ...: .... ...: ...: ...: ... ..: .............. .... , ...... ..
Q U. U
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
DEPUTY DIRECTOR
45010000 OTM0778
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
DEPUTY DIRECTOR
45010000 OTM0778
22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
DIVISION OF TRADING AND MARKETS
OFFICE OF DEPUTY DIRECTOR
SECURITIES AND EXCHANGE COMMISSION
DIVISION OF TRADING AND MARKETS
OFFICE OF DEPUTY DIRECTOR
Dc:............. ....... ................................... ..
:';':':'E'M' .'.'.'.::.'.'.'.'.'.'.'.'.'.'.'.'.'.'.'.'.::.'.'.'.',::.'.'.::.'.'.'.'.'.'.::.'.'.'.'.'.'.'.'.'.'.'.:.:.:.'.:.'.::':'" ........................................: .....:....... ., .. :.'.. :.: ...: ...:.:.........:.:.....:.:.:. ....... .
::,::,::,:,",:\\",:),,?:,:)))(:/))))\:.:.: .....
23. Veterans Preference 26. Veterans Preference for RIF
1 - None 3 - 10-Point/Disability
2 - 5-Point 4 - 10-Point Compensable
5 - 1 O-Point Other
6 - 10-Point/Compensable/30%
i(b)(6) I
27. FEGLI I (b)(6) I
j (b)(6) i '--. _____ ---.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
E - Exempt
N - Nonexempt
(b)(6)
39. Duty Station (City - County - State or Overseas Location)
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
100062530
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, 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
ASSOCIATE DIRECTOR (T&M)
45120000 OMR0563
14_ Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
DIVISION OF TRADING AND MARKETS
OFF OF TRADING PRACTICES & PROC
23. Veterans Preference
19' 1-None
I 2 - 5-Point
3 - 10-Point/Disability
4 - 1 O-Point Compensable
5 - 1 O-Point Other
6 - 10-Point/Compensable/30%
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
ASSOCIATE DIRECTOR (T&M)
45120000 OMR0563
22. Name/-and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
DIVISION OF TRADING AND MARKETS
OFF OF TRADING PRACTICES & PROC
WASHINGTON,DC
I
O-None
1 - Permanent
············!"25:iigericyuse
2 - Conditional I I
3 - Indefinite
24. Tenure
1
(b)(6)
26. Veterans Preference for RIF
27_ FEGLI l(b)(6) ______ _
l(b)(6)
29. Pay Rate Determinant
o I
J .. : ...: ....: ...... :.:.................... : .... :: ...... ::.:.::.:.::.:.::.:.:::.::... :::: .:::::::::::::::::.:.:.:::.: ::.::::::::::::: ... ..
:.:..:: .. ::.:.:'. ::::::::::: ..
34. Position Occupied
2
1 - Competitive Service
2 - Excepted Service
38. Duty Station Code
11-0010-001
40, Agency D
CLS
45. Remarks
46. Employing Department or Agency
3 - SES General
4 - SES Career Reserved
35. FLSA Category
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
102153004
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
':
":":":'::'::'.:':' ..:'.:'.:'.:'.:' :' ..:'.:'.:'.:'.:'.:'.:'.:'.:':' ..:'.:'.:'.::.:'::.'.:":":'::"::.:'.:' .. .... · ..::E .....:n:·.·.: .••. .•. ·· ..::::X.· .. .....:n.:.::-:: .... ... .....·:) .. -.. ..: ..: ... ::.: ..I.::.ft .. ::: .... ::t.o.: .•. :., .:, 1.::.::.:,.::.::.:,.:,:,.:,:,.:,:,:,:,:,:,.: .. '.: 1=(b)=(6=)
,,:iii't::lij:ii::ul:::::::i:::: ::}}:f:ffi::::::::::::::::::::: ::::: iii. HQI
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
ZLM 5 U.S.C. 3114
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, TRADING AND MARKETS
45000000 OMR0487
8. Pay Planl9. Occ. Code 110. Grade/Level 111. Step/Rate 112. Total Salary 113. Pay Basis
16;; Plan 1
21
.;;:asis
12A. Basic Pay
I 12B. Locality Adj. I 12C. Adj. Basic Pay 1120. Other Pay
20A. Basic Pay
12;.
12;. Other Pay
$188450 0
14. Name and Location of Position's Organization 22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
DIVISION OF TRADING AND MARKETS
WASHINGTON,DC
......... ......... " ........ " ......... ............. ................. ......... . ............................................................................................... ....................................................................................................................................... ..................................................................................
23. Veterans Preference
1 - None 3 - 10-Point/Disability
2 - 5-Point 4 - 10-Point Compensable
(b)(6)
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
(b)(6)
46. Employing Department or Agency
24. Tenure
5 - 1 O-Point Other
6 - 10-Point/Compensable/300/0 2
0- None
1 - Permanent
2 - Conditional f------,
3 - Indefinite
29. Pay Rate Determinant
o
35. FLSA Category 36. Appropriation Code 37. Bargaining Unit Status
EO' 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
091083801
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)
880 CHG IN TENURE GROUP
5-C. Code 5-0. Legal Authority
KMM REG 315.202
5-E. Code 5-F. Legal Authority
7, FROM: Position Title and Number
MANAGEMENT ANALYST
45130000 OED0870
14. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
DIVISION OF TRADING AND MARKETS
OFFICE OF BROKER/DEALER FINANCES
3. Date of Birth
6-C Code 6-0. Legal Authority
6-E. Code 6-F. Legal Authority
15, TO: Position Title and Number
MANAGEMENT ANALYST
45130000 OED0870
22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
DIVISION OF TRADING AND MARKETS
OFFICE OF BROKER/DEALER FINANCES
27. FEGLI I (b)(6) I 28. Annuitant Indicator 29. Pay Rate Determinant
1(b)(6) n 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
11-0010-001
40, Agency D
CLS
46. Employing Department or Agency
35. FLSA Category
i (b) 1 E - Exempt
116L 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
RI
SE - SECURITIES AND EXCHANGE JEFFREY A RISINGER
47. Agency Code 48. Personnel Office 10
SEOO 1057
ASSOCIATE EXECUTIVE DIRECTOR
110131103
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-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
ASSOCIATE DIRECTOR (CAPITAL MARKETS) ASSOCIATE DIRECTOR (CAPITAL MARKETS)
45130000 OMR0811 45130000 OMR0811
14. Name and Location of Position's Organization 22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
DIVISION OF TRADING AND MARKETS
OFFICE OF BROKER/DEALER FINANCES
SECURITIES AND EXCHANGE COMMISSION
DIVISION OF TRADING AND MARKETS
OFFICE OF BROKER/DEALER FINANCES
23. Veterans Preference
1 - None 3 - 1 O-Point/Disability
2 - 5-Point 4 - 10-Point Compensable
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
24. Tenure
5 - 1 O-Point Other
6 - 10-Point/Compensable/30%
0- None
1 - Permanent
2 - Conditional 1-----,
3 - Indefinite 1
28. Annuitant Indicator
(b)(6)
35. FLSA Category 36. Appropriation Code
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 1'0
SEOO 1057
AUTHORIZING OFFICIAL
100064956
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
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
COUNSEL COUNSEL
45010000 OMR0899 45000000 OMR0899
S. 19. /1 O. I /1 ;0;1 0
/13. ;;:asis
16.Pay Plan 17. Occ. Code /18. Grade/Level b 9. Step/Rate .120. Total Salary/Award 121 . Pay Basis
SO 0905 02, 0 $230700 PA
12A. Basic Pay
/1;.
11;. Other Pay
20A. Basic Pay
12;.
12;. Other Pay
$190857 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 TRADING AND MARKETS DIVISION OF TRADING AND MARKETS
OFFICE OF DEPUTY DIRECTOR
WASHINGTON,DC
..... . . ............. .......................... .. ......................................................" ..................... ' .., .., .....,.,... ................
....: ::::::: ;::::::::::::::::::::;:::::;::::::::::::.:.:.'.;...... ....... .
23. Veterans Preference ::::::::: ::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::: 24. Tenure 26. Veterans Preference for RIF
1 - None 3 -10-Point/Disability 5 -10-Point Other r---:,------,1 0 - None 2 - Conditional I I '(b)(6) I
l"".."':'J I 2 - 5-Point 4 - 1 O-Point Compensable 6 - 10-Point/Compensable/300/0 I..L I 1 - Permanent 3 - Indefinite
27. FEGLI l(b)(6) I 28. Annuitant Indicator 29. Pay Rate Determinant
-1(b)(6) _________ -----.J (b)(6) I
34. Position Occupied
2
1 - Competitive Service
2 - Excepted Service
38. Duty Station Code
11-0010-001
40. Agency D
CLS
46. Employing Department or Agency
3 - SES General
4 - SES Career Reserved
o I
35. FLSA Category 36. Appropriation Co(ie 37. Bargaining Unit Status
(b)(6)
E - 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
101151230
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
::::lfij:l.liiW:::::::i::::::::::::>=:.:=:::={(}:=L::=:=== :==:::::/:t .......
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 DIRECTOR
45010000 OTM0778
B. Pay Planl9. Occ. Code 110. Grade/Level 111. Step/Rate 112. Total Salary 113. Pay Basis
16;; Plan Step/Rate 121. ;;:asis
12A. Basic Pay 1 12B. Locality Adj. 1 12C. Adj. Basic Pay 11 20. Other Pay
20A. Basic Pay
12;.
12;. 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 TRADING AND MARKETS
OFFICE OF DEPUTY DIRECTOR
................. ........................... '.' .................... ....................... ' .... ............................ ' ... ....................................... .................. .. . .t...P.S; . . .........
1(b)( nl 1 - 3 - 10-Point/Disability 5 - 10-Point Other I 0 - None 2 - Conditional I I l(b)(6) l
_ 2 - 5-Pomt 4 - 10-Point Compensable 6 - 10-Point/Compensable/30% 2 1 - Permanent 3 - Indefinite .
27. FEGLI l(b)(6) I 2B. Annuitant Indicator 29. Pay Rate Determinant
(b)(6)
7 I
34. Position Occupied
1 - Competitive Service 3 - SES General
2 - Excepted Service 4 - SES Career Reserved
3B. Duty Station Code
40, Agency D
CLS
35. FLSA Category 36. Appropriation Code
33. Part-Time Hours Per
Biweekly
...................... '.' ........
37. Bargaining Unit Status
8888
RI
___________________________________________________ ,
(b)(6)
46. Employing Department or Agency
SE - SECURITIES AND EXCHANGE
47. Agency Code 4B. Personnel Office 10
SEOO 1057
50. Signature/Authentication and Title of Approving Official
JEFFREY A RISINGER
ASSOCIATE EXECUTIVE DIRECTOR
101214992
y opy
Obtained by Judicial Watch October 3, 2011 through FOIA