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Obtained by Judicial Watch October 3, 2011 through FOIAStandard F orm 50- BRev. 7/ 91U.S. Office of Personnel ManagementF PM Supp.2 96- 33, Subch. 4 1 . N ame ( Last,F irst, Middl e)

NOTIFICATION OF PERSONNEL ACTION 2 . Social Security N umber 3. Date of Birth

PAULA XXX-xxJ<b)(6).. ,',', ','·'.

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ASSOCIATE DIRECTOR

3 0 5 0 0 0 0 0 OCF04 74 8. 9. c; o; G /L evel Step/ Rate l ;o;l a;r

O ;;: asis

12 A. Basic Pay L t; jl ;· Other Pay$185719 0

1 4. N ame and Location of Position' s Organiz ationSECURITIES AND EXCHANGE COMMISS ION DIVIS ION OF CORPORATION FINANCE OFFICE OF DEPUTY DIRECTOR O/SR ASSOC DIR (DISC OPERATIONS )

WASHINGTON , DC

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6- A. Code 6- B. N ature of Action

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DEPUTY DIRECTOR

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0 22. N ame and Location of Position' s Organiz ation

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5-A. Code

8 9 0 5- C. Code

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3 0 5 3 0 0 0 0 OCF0 954

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12 A. Basic Pay L t j ;c A; i ay Other Pay O$179879

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2 . Social Secur ity Number 3. Date of Bir th

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7. FROM: Position Title and Number 1 5. TO: Position Title and Number

ASSOC DIRECTOR (REGULATORY POLICY) ASSOC DIRECTOR (REGULATORY POLICY)

3 03 0 0 0 0 0 OCF0585 3 03 0 0 0 0 0 OCF0585

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34. Position Occ upied2 2 1 - CompetitiveE xc epted ServiServic ce - e 3 - SE S Gen eral4 - SE S Career Reserved

38. Duty Station Code11- 0 0 1 0 - 0 0 1

39. Duty Station (Citympt- Coun ty - State or Overseas Loc ation )

WASHINGTON, DISTRICT OF COLUMBIA 40. Agency

CLS 45. Remarks

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Standard F orm 50-BRev. 7/ 91U.S. Office of Personnel Man agementF PM Supp.2 96-33, Subch. 4 1 . Name (Last, F irst, Middle)

NOTIFICATION OF PERSONNEL ACTION 2 . Social Security Number 3. Date of Birth

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894 GEN ADJ 5-C. Code 5-D. Legal Authority 6-C Code 6-D. Legal Authority

ZLM P . L. 1 0 7 - 12 3 5-E . Code 5-F . Legal Authority 6-E . Code 6-F. Legal Authority


DEPUTY DIRECTOR (DISC OPS ) DEPUTY DIRECTOR (DISC OPS )

3 0 6 0 0 0 0 0 OCF094 0 3 0 6 0 0 0 0 0 OCF0 9 4 0 9. c o; ;tap/ Rate ;;:asis 1 6;; Plan 1 7 c de r;de/ Level Step/ Rate ;;:•sis

12 A. Basic Pay L;;t; j ;c A;·; i ay O

2 0A. Basic Pay L;;t J A -; i ay Other Pay$ 1 9 0 0 3 7

14. Name and Location of Position 's Organiz ation 22 . Name an d Location of Position's Organ iz ationSECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION DIVISION OF CORPORATION FINANCE DIVISION OF CORPORATION FINANCE OFFICE OF DEPUTY DIRECTOR OFFICE OF DEPUTY DIRECTOR OfASSOC DIR (DISCL OPTNS ) OfASSOC DIR (DISCL OPTNS )

��t:i 1.'1.q'J:'91.'1..'J::>q . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ��t:i . .1.'1.q_':['9 .'pq

2 3. Veteran s Preferen ce

0

1(b)(6) 1 · None(b)(6)

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30. Retiremen t Plan

2 9. Pay Rate.Deter minant0

33. Part-Time Hours Per

·.·.·.·.·....f:' y eri. d . . . F ULL-TIME Biweekly

::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::;:: ::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::: ::::::::::::·:·:······ · · 34. Position Occupied1 1 - Competitive Service2 •E xcepted Service 3 - SE S Gen eral4 - SE S Career Reserved

35. F LSA Category : mpt

36. Appropriation Code

38. Duty Station Code 39. Duty Station (City- Coun ty - State or Overseas Location)1 1 - 0 0 1 0 - 0 0 1

40. Agency

CLS 45. Remarks

SALARY INCLUDES A LOCALITY PAYMENT (OR OTHER GEOGRAPHIC .ADJUSTMENT)APPLICABLE IN THIS AREA.

37. Bargaining Uni t Status8 8 8 8

46.E mploying Department or Agen cy 50. Signature/ Authen tication and Title of Approvin g OfficialSE - SECURITIES AND EXCHANGE

AUTHORIZING OFFICIAL 1 0 0 06 2 8 7 3

47. Agen cy Code 48. Personnel Office ID 49. Approval DateSEO O 1 0 5 7 0 1 / 0 3 / 1 0

8.; lanl 11 0. G / Level I I

1 1 3 . 118- r;d

,

e/ Level Step/ Rate 12$. o;a ; / war d 121 .

1 1 . 1; 1 1 1 2;. 1;;c A -; i ay 1 2 . H85719

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Standar d F or m 50-B Rev. 7/ 91

NOTIFICATION OF PERSONNEL ACTION U.S. Office of Per sonnel Management F PM Supp. 296-33, Subch. 4 1 . Name !Last, F ir st, Middle) 2. Social Secur ity Number 3. Date of Bir th

: r=: ::J: =rr ::•: = : : , , ,, ,,,. , :::prJ :rJ: :J:r:: : ia:o.iJ.:�m1:aJ=Jtt =b�'. :. . , ,.,., , ,, ,,.,, , === == / ' , ,, , , . 5-A. Code 5-B. Natur e Of Action 6-A. Code 6-B. Natur e of Action

890 MISC PAY ADJ 5-C. Code 5- D. Legal Author ity 6-C Code 6-D. Legal Author ity

ZLM P . L . 1 0 7 - 12 3 5-E . Code 5- F . Legal Author ity 6-E . Code 6-F . Legal Author ity ' 7. FROM: Position Title and Number 1 5. TO: Position Title and Number

ASSOCIATE DIRECTOR (DISCL OPS ) ASSOCIATE DIRECTOR (DISCL OPS )- -3 0 6 0 0 0 0 0 OCF0 9 1 6 3 0 6 0 0 0 0 0 OCF0 916

9. c; o; ;tep/ Rate 1 ;o;l a;r

O ;;:asis 1 6;; Plan 1 10 c0 ode ;;:asis

1 2A. Basic Pay L t jl ;; ; i ay ;· Other Pay 20A. Basic Pay L t A jl Other Pay $185469 0 0

1 4. Name and Location of Position' s Or ganiz ation 22. Name and Location of Position's Or ganiz ation SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION DIVISION OF CORPORATION FINANCE DIVISION OF CORPORATION FINANCE OFFICE OF DEPUTY DIRECTOR OFFICE OF DEPUTY DIRECTOR O/ASSOC DIR (DISCL OPTNS ) O/ASSOC DIR (DISCL OPTNS )

. . .. .. . · · · ·•·• . . ..... J::) . .

23. Veter ans Pr efer ence


: = :::=:::= :: : t::::::j::: : [tf r ==== 1 t i ::1:: r r ; ::.;:;'. :; ::: ; '. '. '.:'.:'.:::::·.·.· 24. Tenur e 25. Agency Use 26. Veter ans Pr efer ence for RIF 3 - 1 0-Point/ Disability 5 - 1 0-Point Other O - None 2 - Conditional (b)(6)4 - 1 0-Point Compensable

Indicator (b)(6) Pay Rate Deter minant 0

35. F LSA Categor y 37. Bar gaining Unit Status 1 - Competitive Ser vice 2 -E xcepted Ser vice 3 - SE S Gener al4 - SE S Car eer Reser ved E -E xempt N - Nonexempt 8 8 8 8

38. Duty Station Code 11- 0 0 1 0 - 0 0 1

40. Agency

CLS

39. Duty Station !City - County - State or Over seas Location) WASHINGTON , DISTRICT OF COLUMBIA

46.E mpl oying Depar tment or Agency 50. Signatur e/ Authentication and Title of Appr oving Official SE - SECURITIES AND EXCHANGE JEFFREY A RISINGER

49. Appr oval Date 04 /3 0 / 1 0

4 7. Agency Code 48. Per sonnel Office ID ASSOCIATE EXECUTIVE DIRECTOR 1 0 5 7 1 00 8 7 5 5 14 SEO O

0 3 / 05 / 1 0

I J J<b)(6)

t : <<··

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1 1 ;o;l a;rO

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11 ;. L;;t ;ja 1;;c A -; i ay 11 1 2;. 1;;c A -; i ay 1 2;. 191202

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Standard Form 50-B

FPM Supp. 296-33, Subch. 4 1 . Name (Last, First, Middle) 2. Social Security Number 3. Date of Birth

(b)(6)

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Rev. 7/91 U.S. Office of Personnel Management NOTIFICATION OF PERSONNEL ACTION

5-A. Code 5-B. Nature Of Action 6-A. Code 6-B. Nature of Action

790 REALIGNMENT 5-C. Code 5-D. Legal Authority 6-C Code 6-D. Legal Authority

UNM MOU DATED 5-E. Code 5-F. Legal Authority 6-E. Code 6-F. Legal Authority

7. FROM: Position Title and Number 1 5 . TO: Position Title and Number

ASSOC REGIONAL DIRECTOR (ENFORCEMENT) ASSOC REGIONAL DIRECTOR ( ENFORCEMENT )

053 0 0 0 0 0 OCH03 79 0 5 3 0 0 1 0 0 OCH03 79 9. c; o ;;:•sis

1 2A. Basic Pay ;· Other Pay $1912 02 0 0

1 4. Name and Location of Position's Organization 22. Name and Location of Position's Organization SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION DIVISION OF ENFORCEMENT DIVISION OF ENFORCEMENT OFFICE OF REGIONAL DIRECTOR ( CHRO) OFFICE OF REGIONAL DIRECTOR ( CHRO)OFF OF SR ASSOC REG DIR (ENF) OFF OF ASSOC REGIONAL DIR ( ENF )

36. Appropriation Code 37. Bargaining Unit Status N - Exempt 8 8 8 8- Nonexempt

38. Duty Station Code 39. Duty Station (City - County - State or Overseas Location) 17 - 16 7 0 - 0 3 1 CHICAGO , COOK, ILLINOIS

CLS 45. Remarks

;tep/Rate ;;:asis 1 6; Plan 1 10 c0 de

20A. Basic Pay L;;t ;jg Other Pay

. . . . 1:f.:I:q\�C? . . .. 1:1:i: �q2_ _._Fl:J.l:J:I: <?:I:. . . r::r>'':' ':': :: ::::::::::::::::: : ::::: :: > : :::::::::::::,,,_._._ ,, ,,, ,)\,,) r ::::::::::::::::::: :::: ' :::::':::'\ :: '\??t:::::>: ::::;;::.> (' \:\: ' ' ' ' : ,, : :? : ' '''t<<:' : '::: : :: : :: > , 23. Veterans Preference 24. Tenure 26. Veterans Preference for RIF

1 - None 3 -1 0-Point/Disability 5 -1 0-Point Other 1 0 - None 2 - Conditional2 - 5-Point 4 -1 0-Point Compensable 6 -1 0-Point/Compensable/30% 1 - Permanent 3 - Indefinite27. FEGLI (b)(6)

34. Position Occupied 1 - Competitive Service 3 - SES General 2 - Excepted Service 4 - SES Career Reserved

35. FLSA Category

28. Annuitant Indicator 29. Pay Rate Determinant 0

40. Agency

46. Employing Department or Agency 50. Signature/Authentication and Title of Approving Official SE - SECURITIES AND EXCHANGE JEFFREY A RIS INGER

4 7. Agency Code 48. Personnel Office ID SEO O 1 05 7

49. Approval Date 0 8 / 1 0 / 1 0

ASSOCIATE EXECUTIVE DIRECTOR 1 0 1461942

J:I.:I:.<;!\: 9.r.,.. . . .:I: 9. .. ! .. . . .. £��9} EMRLO¥EE::DA1A \ HL r7i)\(6)'[ r . . . I 2 - 5-Point 27. FEGLI (b)(6)

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Standard Form 50-B Rev. 7/91 U.S. Office of Personnel Management NOTIFICATION OF PERSONNEL ACTION

6-A. Code 6-B. Nature of Action 894 GEN ADJ

5-C. Code 5-D. Legal Authority 6-C Code 6-D. Legal Authority ZLM P . L. 1 0 7 - 123

5-E. Code 5-F. Legal Authority 6-E. Code 6-F. Legal Authority


REGIONAL DIRECTOR REGIONAL DIRECTOR

0 5 0 0 0 0 0 0 OCH0464 0 5 0 0 0 0 0 0 OCH0464

14. Name and Location of Position's Organization 22. Name and Location of Position's Organization SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION DIVISION OF ENFORCEMENT DIVISION OF ENFORCEMENT OFFICE OF REGIONAL DIRECTOR ( CHRO ) OFFICE OF REGIONAL DIRECTOR ( CHRO )

36. Appropriation Code 37. Bargaining Unit Status 1 - Competitive Service 3 SES General EN- Exempt 8 8 8 82 - Excepted Service 4 - SES Career Reserved - Nonexempt

FPM Supp. 296-33, Subch. 4 1 . Name (Last, First, Middle) 2. Social Security Number 3. Date of Birth

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23. Veterans Preference 24. Tenure 25. Agency Use RIF(b)(6)1 - None

(b)(6)


3 - 1 0-Point/Dlsability 4 - 1 0-Point Compensable

·-

5 - 1 0-Point Other 6 - 1 O-Point/Compensable/30%

35. FLSA Category

1 0 - None1 - PermanentlndicRtor 32. Work Schedule

2 - Conditional3 - Indefinite

F ULL-TIME


33. Part-Time Hours Per Biweekly

40. Agency

38. Duty Station Code 39. Duty Station (City - County - State or Overseas Location) 17- 1670 - 0 3 1 CHICAGO , COOK, ILLINOIS

CLS 45. Remarks

SALARY INCLUDES A LOCALITY PAYMENT (OR OTHER GEOGRAPHIC ADJUSTMENT ).APPLICABLE IN THIS AREA .

46. Employing Department or Agency 50. Signature/Authentication and Title of Approving Official SE - SECURITIES AND EXCHANGE

48. Personnel Office ID 4 7. Agency Code 49. Approval Date AUTHORIZING OFFICIAL SEOO 1 0 5 7 0 1 / 0 3 / 1 0 1 0 0 0 6 3 6 84

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3 eti@roent Plan__________ 31--<;acvJr.<L Cnmn._Data .ILP.ave)

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NOTIFICATION OF PERSONNEL ACTION 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 . 1 0 7 - 12 3 5-E. Code 5-F. Legal Authority


ASSOC REG DIRECTOR





{REG) ASSOC REG DIRECTOR . {REG)

054 0 0 0 0 0 OCH04 6 6 0 5 4 0 0 0 0 0 OCH04 6 6 8 . 9. c o G /Level Step/Rate

O ;;:•sis 1 6;; Plan 1 7 0 c de Step/Rate ;;:•sis

1 2A. Basic Pay ;c2A; ·;;i ay ;· Other Pay 20A. Basic Pay L t; j 20D. Other Pay $ 1 8 6 6 0 6 0 $ 0

1 4. Name and Location of Position's Organization 22. Name and Location of Position's Organization SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISS ION DIVIS ION OF ENFORCEMENT DIVIS ION OF ENFORCEMENT OFFICE OF REGIONAL DIRECTOR { CHRO ) OFFICE OF REGIONAL DIRECTOR { CHRO )OFFICE OF ASSOC REG DIR {EXAMS ) OFFICE OF ASSOC REG DIR {EXAMS )

. . .<;I:I.:I:<; �<?.1. . J:J::rJ::r.:i: c:>:i: . . . <;I:I:I:<; �<? 1..J:.J::rl::r:I: <?:I: .::::::::::::::::::: ;:;:;:: : : :.::::::::=·= ·· ========:=:==== := ..:= ..:· ..'.· . . ===··· : : : : : t t=/r ========== · ==============:== ====== ====:·:::: ==== ·.· .·.·.·.· . ·.·.·.·.·.·.·· =·= · = · = ·:·:·:·:·: : :;: :;: :;:;:;:;:;:;:;:;:;:;:;:;:=:=·=·;:;:;:::;:;:;:;:;:;:;:;.;:;:;:;:;:;:·:·;: : ::::::.:::...;:::;:::;: :;: :;::::....·.·.·.····:···:·:·:·;:;;;;;:;:;:;:;:;:;

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27. FEGLI . 28. Annuitant Indicator l (b)(6)

29. Pay Rate Determinant 0

32. Work Schedule 33. Part-Time Hours Per

•u: · •cur• : ::• • • : : ::: ::::;:; ;:;• : : : ,, ,, . . ,, ::=::: •t:t: , , ,, : ::::::::• :( :�5::,:�r.::: : :c: : 34. Position Occupied 36. Appropriation Code

1 - Competitive Service 3 - SES General E - Exempt2 2 - Excepted Service 4 - SES Career Reserved N - Nonexempt38. Duty Station Code

17 - 16 7 0 - 0 3 1 40. Agency

CLS 45. Remarks

39. Duty Station (City · County · State or Overseas Location) CHICAGO , COOK , ILLINOIS

SALARY INCLUDES A LOCALITY PAYMENT {OR OTHER GEOGRAPHIC ADJUSTMENT)APPLICABLE IN THIS AREA .

37. Bargaining Unit Status 8 8 8 8

46. Employing Department or Agency 50. Signature/Authentication and Title of Approving Official SE - SECURITIES AND EXCHANGE

47. Agency Code 48. Personnel Office ID 49. Approval Date AUTHORIZING OFFICIAL SEO O 1 0 5 7 0 1 / 0 3 / 1 0 1 0 0 06 3 74 0

·.·.···· 10

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Standard Form 50-BRev. 7/91

NOTIFICATION OF PERSONNEL ACTIONU.S. Office of Personnel ManagementFPM Supp. 296-33, Subch. 4 1 . Name (Last, First, Middle) 2. Social Security Number 3. Date of Birth

s....... ......................... ...............,,,,,. ...................................,.,.,.,.,.,.,.,.,.,.,.,.,.,.,.,.,.,...... . __,• .... . . ?H• ' • • = = =•=• === :• • •• ?? /(/? ? • • •

5-A. Code N i ; 890 MISC PAY ADJ

5-C. Code 5-D. Legal AuthorityZLM P . L . 1 0 7 - 12 3


1- FROM: Position Title and Number

ASSOCIATE REGIONAL DIRECTOR (EXAMS )

052 0 0 0 0 0 OCH04 66

1 4. Name and Location of Position's OrganizationSECURITIES AND EXCHANGE COMMISS ION DIVISION OF ENFORCEMENT OFFICE OF REGIONAL DIRECTOR ( CHRO)OFFICE OF ASSOC REG DIR (EXAMS )




1 5 , TO: Position Title and Number

ASSOCIATE REGIONAL DIRECTOR (EXAMS )

0 52 0 0 0 0 0 OCH04 6 6

22. Name and Location of Position's OrganizationSECURITIES AND EXCHANGE COMMISS ION DIVIS ION OF ENFORCEMENT OFFICE OF REGIONAL DIRECTOR ( CHRO )OFFICE OF ASSOC REG DIR ( EXAMS )

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39. Duty Station (City - County - State or Overseas Location)CHICAGO , COOK , ILLINOIS

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NOTIFICATION OF PERSONNEL ACTION 2. Social Security Number 3. Date of Birth

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ASSOC REGIONAL DIRECTOR ( E:NF ) ASSOC REGIONAL DIRECTOR ( ENF )

0 5 1 0 0 0 0 0 OCH04 6 7 8 . Pay Plan 9. Occ. Code 1 0. Grade/Level 1 1 . Step/Rate 1 2. Total Salary

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CHIEF OPERATING OFFICER

2 0 0 0 0 0 0 0 OES 0 9 2 0






CHIEF OPERATING OFFICER

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8888

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7. FROM : Position Title and Number

SENIOR ADVISOR

2 6 0 0 0 0 0 0 OED03 0 5

1 4. Name and Location of Position's Organization SECURITIES AND EXCHANGE COMMISSION OFFICE OF THE EXECUTIVE DIRECTOR

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5 1 - 0 04 0 - 5 10 40. Agency

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Standard Form 50-B Rev. 7/91 U.S. O fice of Personnel Management NOTIFICATION OF PERSONNEL ACTION FPM Supp. 296-33, Subch. 4 1 . Name (Last, First, Middle) 2. Social Security Number

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3. Date of Birth

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4 7. Agency Code 48. Personnel Office ID 49. Approval Date



SEOO 1057 01/03/10

· standard Form 50·8

Rev. 7/91

U.S. Offiee of Personnel Management

FPM Supp. 296·33, Subch. 4 NOTIFICATION OF PERSONNEL ACTION 1 . Name (Last, First, Middle) 2. Social Security Number

(b )(6) (b )(6) ·••'··•·•

5·A. Code Nature Of Action 6·A. Code 6·8. Nature of Action

894 GEN ADJ 5-C. Code 5·D. Legal Authority

ZLM P . L . 107-123 6·C Code 6·D. Legal Authority


7. FROM: Position Title and Number 15. TO: Position Title and Number

SUPV STAFF ACCOUNTANT (SI) SUPV STAFF ACCOUNTANT (SI) ASSOCIATE REGIONAL DIRECTOR (EXAM) ASSOCIATE REGIONAL DIRECTOR (EXAM) 07005000 ODR0319 07005000 ODR03 19



OFFICE OF REGIONAL DIRECTOR (DRO) OFFICE OF ASSOC REG DIR (EXAMS)

OFFICE OF REGIONAL DIRECTOR (DRO) OFFICE OF ASSOC REG DIR {EXAMS)

DENVER, COLORADO . DENVER, COLORADO

23. Veterans Preferen e Tenure 25. Agency Use 26. Veterans Prefe ence for RIF

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27. FEGLI 28. Annuitant Indicator 29. Pay Rate Determi ant

0

F ULL-TIME

3 - SES General E - Exempt


08-0600-031 40. Agency

CLS

DENVER, DENVER, COLORADO

8888

RI

SALARY INCLUDES A LOCALITY PAYMENT (OR OTHER GEOGRAPHIC ADJUSTMENT) APPLICABLE IN THIS AREA .


SE - SECURITIES AND EXCHANGE _

AUTHORIZING OFFICIAL 100068573

U.S. Office of Personnel Management FPM Supp. 296-33, Subch. 4 1 . Name (Last, FirS1, Middle) 2. Social Security Number 3. Date of Birth

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b

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Pa¥,

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45. Remarks

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NOTIFICATION OF PERSONNEL ACTION )(6)

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7. FROM: Position Title and Number 15. TO: Position Title and Number

REGIONAL DIRECTOR REGIONAL DIRECTOR

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SO 0905 02 0 $230700 PA l; t A j 12D. Other Pay L; t jQ Other Pay

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SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION DIVISION OF ENFORCEMENT DIVISION OF ENFORCEMENT OFFICE OF . REGIONAL DIRECTOR (DRO) OFFICE OF REGIONAL DIRECTOR (DRO)

DENVER, COLORADO

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08-0600-031 40. Agency

CLS

DENVER, DENVER, COLORADO

SALARY INCLUDES A LOCALITY PAYMENT (OR OTHER GEOGRAPHIC ADJUSTMENT) APPLICABLE IN THIS AREA.



SEOO 1057 01/03/10 AUTHORIZING OFFICIAL 100070441

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890 MISC PAY ADJ 5-C. Code 5-D. Legal Authority



SUPERVISORY ATTORNEY

072 0 0 1 0 0 ODR02 6 0

1 4. Name and Location of Position's Organization

NOTIFICATION OF PERSONNEL ACTION 2. Social Security Number



3. Date of Birth


SUPERVISORY ATTORNEY

072 0 0 1 0 0 ODR0 2 6 0



SECURITIES AND EXCHANGE COMMISS ION DIVISION OF ENFORCEMENT

OFFICE OF REGIONAL DIRECTOR (DRO )OFF OF ASSOC REGIONAL DIR ( ENF)

OFFICE OF REGIONAL DIRECTOR (DRO )OFF OF ASSOC REGIONAL DIR ( ENF)

PrAfArone<Lfr RIF 3 - 1 0-Point/Disability 5 • 1 0-Point Other O • None 2 - Conditional 4 - 1 0-Point Compensable

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NOTIFICATION OF PERSONNEL ACTION 2. Social Security Number 3. Date of Birth

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CHIEF COUNSEL

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CHIEF COUNSEL

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1 4. Name and Location of Position's Organization 22. Name and Location of Position's OrganizationSECURITIES AND EXCHANGE COMMISSION DIVISION OF ENFORCEMENT

SECURITIES AND EXCHANGE COMMISSION DIVISION OF ENFORCEMENT DIVISION OF ENFORCEMENT OFFICE OF CHIEF COUNSEL OFFICE OF CHIEF COUNSEL GROUP

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38. Duty Station Code11 - 0 0 1 0 - 0 0 1

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CLS 45. Remarks

3.9. Duty Station (City - County - State or Overseas Location)WASHINGTON , DISTRICT OF COLUMBIA

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ASSOCIATE DIRECTOR

4 0 8 0 0 1 0 0 OEN0 743


SECURITIES AND EXCHANGE COMMISS ION DIVIS ION OF ENFORCEMENT OFFICE OF REGIONAL DIRECTOR (ARO )DIVIS ION OF ENFORCEMENT OFFICE OF ASSOC DIRECTOR

3 - SES General

Standard Form 50-B Rev. 7/91 U.S. Office of Personnel Management FPM Supp. 296-33, Subch. 4 NOTIFICATION OF PERSONNEL ACTION 1 . Name (Last, First, Middle)


2. Social Security Number 3. Date of Birth

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WASHINGTON, DISTRICT OF COLUMBIA


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6-C Code 6-D. Legal Authority WDM SCH 2 13 . 3 1 02 (D )

6-E. Code 5-F. Legal Authority 6-E. Code 6-F. Legal Authority


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36. Appropriation Code 37. Bargaining Unit Status 8 8 8 8

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890 MISC PAY ADJ 5·D. Legal Authority 6·D. Legal Authority

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7. FROM: Position Title and Number 1.5. TO: Position Title and Number

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34. P.osition Oc upied

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2

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35. FLSA Category


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Standard Form 50·B Rev. 7/91 U.S. Office of Personnel Management NOTIFICATION OF PERSONNEL ACTION

r itl•liiroltil:i:]:5-A. Code 5-8. Nature Of Action

8 9 0 MISC PAY ADJ 5-C. Code 5-D. Legal Authority



UNIT CHIEF (ASSET MANAGEMENT )

4 0 5 3 0 0 0 0 OEN1 0 3 2


SECURITIES AND EXCHANGE COMMISSION DIVIS ION OF ENFORCEMENT OFFICE OF ASSOCIATE DIRECTOR OFFICE OF ASSISTANT DIRECTOR #13

1 - Competitive Service 3 - SES General 2 - Excepted Service 4 - SES Career Reserved

E - ExemptN - Nonexempt




UNIT CHIEF (ASSET MANAGEMENT)

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SECURITIES AND EXCHANGE COMMISS ION DIVIS ION OF ENFORCEMENT OFFICE OF ASSOCIATE DIRECTOR OFFICE OF ASSISTANT DIRECTOR #13

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