sec fed pay docs 10/25/2011: part4

8/3/2019 SEC Fed Pay Docs 10/25/2011: Part4

1/19

7/91Office of Personnel ManagementSupp_ 296-33, Subch_ 4

Name (Last, First, Middlel

894 GEN ADJCode 5-0_ Legal Authority

ZLM P.L. 107-123Code 5-F _Legal AuthorityFROM: Position Title and NumberDEPUTY DIRECTOR, OIA68000000 IA-001A

Name and Location of Position's Organization

NOTIFICATION OF PERSONNEL ACTION3 _Date of Birth

6-C Code 6-0_ Legal Authority

6-E_ Code 6-F_ Legal Authority

15. TO: Position Title and NumberDEPUTY DIRECTOR, OIA68000000 IA-001A

22 . Name and Location of Position's OrganizationSECURITIES AND EXCHANGE COMMISSIONOFFICE OF INTERNATIONAL AFFAIRS SECURITIES AND EXCHANGE COMMISSIONOFFICE OF INTERNATIONAL AFFAIRS

Veterans Preference1 - None 3 - 10-Point/DisabilityI 2 - 5-Point 4 - 10-Point Compensable

FEGLI ",1(bCL(=6L.-)____ ----"1 28_ Annuitant Indicator(b)(6)

Position Occupied 36_ Appropriation Code1 - Competitive Service 3 - SES General2 - Excepted Service 4 - SES Career Reserved

Duty Station Code

. Agency DCLSRemarks

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

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

Agency Code 48_ Personnel Office 10SEOO 1057 AUTHORIZING OFFICIAL100067822

y opy

29_ Pay Rate Determinano I

8888

RI

Obtained by Judicial Watch October 3, 2011 through FOIA


2/19

Form 50-B7/91

S_Office of Personnel ManagementSupp_296 -33, Subch_4

Nam e (Last, First, Middle)NOTIFICATION OF PERSONNEL ACTION

2_ Social Security Number 3 , Date of Birthl(b)(6) I HI(b)(6)

: : ':':':':':':,' ... '" ::::.:: :,:,:,:,:,:,', I ', ' :.:.:.:.:. :.:::.:.:.:.:.:.:.:.:.:.:.:.: .:.:: : axx.,,:.i: :'.,::" ,::.,::-I! sXXN ::' ,' .. A ':'::', ,wc .. ... " ~ " ' .. " " ~ " .... H ~ ~ ~Q ::t} w.; : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : ~ ; ; : ; : : : : ; : ; : : : : : : . : : : . : . ; . : . : ........... ....... ..:.:.. .:.:.:.:.:.:.:.:.:.:.:.:.:.:.:: Q : ~ ~ u . iii. MQ :;:I :; Wt:" ;:::;:::;:::;:::;:;:::;:;::;:;: i ~ ~ ~ ~ ~ ~ < : ' " 26.Veeans reference f

1 - None 3 -10-Point /Disability 5 - 10-Point Other I 0 - None 2 - Conditiona l I I I b)(6),,--.....,..,., 2 - 5-Point 4 - 10-Point Compensable 6 - 10-Point/Compensable/30 0/0 2 1 - Pe rmanent 3 -Indefini te I(6) ' l l(b)(6) _ I ' ( ~ u l t a n t J n o , , - r _ _ _ 29, Pay Rate Determinanto IPosition Occupied 35. FLSA Category 36_Appropriation Code 37. Bargaining Unit Sta

1 - Competitive Service 3 - SES General (b)(6) I E - Exempt 8888___2 _ - _ E _ c _ e ~ P t _ e d _ S _ e _ r v _ i c _ e ___ _-S_E_S_C_ar_e r_R_s_eN_ed__ ~ N ~ - _ N ~ o n ~ e _ e _ m 7 ~ __ __ ____ ~ ~ ~ ______________________ _____________Duty Station Code 39. Duty Station (City - County - State or Overseas Location)

. Agency DCLSemarks

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

Employing Depa rtment or Agency 50. Signature/Authentication and Title of Approving Off icialSE - SECURITIES. Age ncy Code 48 . Personnel Office 10

SEOO 1057 AUTHORIZING OFFICIAL100073650y opy



3/19

7/91of Personnel Management

Supp. 296-3 3, Subch. 4Name (Last, First, Middle)

NOTIFICATION OF PERSONNEL ACTION2. Social Security Number 3. Date of Birth

j ' i ~ j i ~ l : : : : ' : : i i : i i i : i i : : i : i i i : q : r : : : : : : : i i i : o . i ~ G ; T I D N 1 ,L(b=(6===c=I;mmt;ttEtEEttmCode 5-B. Nature Of Action

894 GEN ADJCode 5-0. Legal Authority

ZLM P.L. 107-123Code 5-F. Legal Authority

FROM: Position Title and NumberDIRECTOR42000000 OCN0050


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 NumberDIRECTOR42000000 OCN0050

22. Name and Location of Position's OrganizationSECURITIES AND EXCHANGE COMMISSIONOFF OF INVESTOR EDUCATION & ADVOCACY

SECURITIES AND EXCHANGE COMMISSIONOFF OF INVESTOR EDUCATION & ADVOCACY

W A S H I N G T C ? ~ , DC;........................................................... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ~ ~ ~ . ! . ~ ~ ! g ~ . r P < ; .................."""".,.. :((::}}}:::::::::::UU:::::://., \(,:((((:::::::',.,'" :;::,'"',',,,,',',',.... ..................... :::: .. :::.::::::::':::::.:.:........................... .. ., .. .,.,.,Preference .... ...... ........ ... 24. Tenure " " " " " " " " " " " " " " " " " " " " " " " " " " " ( ~ ~ ~ " r ~ ~ ~ ~ ~ " G ~ ~ " ' ; : : " " ' ' 26. Veterans Preference f

I 1 - None 3 - 10-Point/Disability 5 - 10-Point Other 0 - None 2 - Conditional I I (b)(6)::::""...L,-; ....' - - o " n - ' __ 0 - ' ...i...t'-'C.. ..m , ~ e n s a b l e 6 - 1 0 - P o i n t l C o m ~ e n s a b l e / 3 0 % I .L I 1 - Permanent 3 -Inaefini te _FEGLI l(b)(6) I 28. Annuitant Indicator 29. Pay Rate Determinanl(b)(6)

1 lent j [ e m e n t J ' / a n . . .. .1 31. Service Compo Date (Leave) 32. Work Schedule 33. Part-Time Hours Per

,A. ..,$ ,......J'T.,,'.,'.,,'I.".. ..,.,N.,'.','.',,".. .. .,A.,... ' . , ~ . , ' . , ..,)A,.,.',,' ,:.:,:.:,:.:,:.:,:.:,:.:,:.:,:.:,:.:,:.'.':.:,:.:,:.:,:.1:.:,:.:,:.:,:.:,:.:,:.:,:.':.:,:.:,:.:.:.:. ": . . . "."," ..,'. . . 1 ,. , . , s s " " ~ ; , ~ ~ , ~ " : " : ; E ~ , ~ , , , , , , , . , : ; : : : : ' " i , ~ / ~ ~ ~ ~ i i i ~ J ' " , :;:1::: :w W:M::I::M :.:.:.:.:.:.:.:.:.:.:':::.:::::::::::::::::::::::::;:::::;:::::::;:;:::::::::::;:;:::;:::::::;:;:;:;:;:::;:::;:;:;:::;:;:;:;:;:;:;:;:;:;:;:;:;:;:;:;:;:;:;:;:;:;:;::::::::::::::::.:.:.1 - Competitive Service 3 - SES General2 - Excepted Service 4 - SES Career ReservedCode


35. FLSA Category 36. Appropriation Code


Employing Department or Agency 50. Signature/Authentication and Title of Approving Official- SECURITIES AND EXCHANGEAgency Code 48. Personnel Office 10

SEOO 1057AUTHORIZING OFFICIAL100076552y opy

37. Bargaining Unit Sta8888

RI



4/19

50 -B7/91

S. Office of Personnel ManagementSupp. 296-33 , Subch. 4 NOTIFICATION OF PERSONNEL ACTION

Name (Last, First, Middle)

890 MISC PAY ADJ5-0 . Legal Authority

ZLM P.L. 110-409Code 5-F. Legal Autho rityFROM: Position Title and NumberINSPECTOR GENERAL67000000 OIG0031

Name and Location of Position's OrganizationSECURITIES AND EXCHANGE COMMISSIONOFFICE OF INSPECTOR GENERAL

. Ret irement Plan,_______ ---.I I ~ . '11" ::1 . : ft. iI':' ) 8. ': :: .:.: : : .. . ... .. . .:.:.:.: : : : : : : : : : : : : : : : : : : : : : : : : ~ ::::\:::' .. ..

1 f . " : : : :w u :n : :::f::n :::::::::::::::::::::::;:;:;:;:;:;:;:;:::::;:::::::::;:::::::;:;:;:;:;:;:;:;:;:;:;:::::::;:;:;:;:; ;:;:::;:;. Position Occupied2 1 - Competitive Service2 - Excepted Service

Duty Station Code

. Agency DRemarks

Employing Department or Agency

3 - SES General4 - SES Career Reserved

- SECURITIES AND EXCHANGEAgency Code 48 . Personnel Office 10

SEOO 1057

2. SocialSecurity Number 3. Date of Birth

mmmJ .. ~ ~ ~ =6-C Code 6-0. Legal Authority

6-E. Code 6-F. Legal Authrity

15 . TO: Position Title and NumberINSPECTOR GENERAL67000000 OIG0031

22 . Name and Location of Position's Organization

.-.:.-.:.:.:.:.:.:.:.:.:.".:.".:.:.:.:.:.:.:.:.:::.::::::::::::::::::::::::::::;:::

SECURITIES AND EXCHANGE COMMISSIONOFFICE OF INSPECTOR GENERAL

50. Signature/Authenticationand Title of Approving Official

AUTHORIZING OFFICIAL100084939y opy

D33 . Part-Time Hours PerBiweekly




5/19

andard Form 50 -Bv. 7/91S. Office of Personnel Management

Supp. 296-33, Subch . 4 NOTIFICATION OF PERSONNEL ACTIONName (Last, First, Middle) 2. Social SecurityN 'umb"er__ -, ( ~ e of Birthi i l _ l j a f . l 8 : i i i g ? : : i : : : : m : : ; : ~ a : J : : : ) " " .. ,"",", ..... ," ,.;,.;.;""H

Code 5-B. Nature Of Action 6-A. Code 6-B. Nature of Action894 GEN ADJC. Code 5-0. Legal Autho rity 6-C Code 6-0. Legal AuthorityZLM P.L. 107-123. Code 5-F . Legal Authority 6-E . Code 6-F. Legal AuthorityFROM: Position Title and Number 15 . TO: Position Title and NumberASSOCIATE REGIONAL DIR (ENF) ASSOCIATE REGIONAL DIR (ENF)15200000 OPR0112 15200000 OPROl12

. Name and Location of Position's Organization 22 . Name and Location of Posit ion's OrganizationSECURITIES AND EXCHANGE COMMISSIONDIVISION OF ENFORCEMENT SECURITIES AND EXCHANGE COMMISSIONDIVISION OF ENFORCEMENTOFFICE OF REGIONAL DIRECTOR (PLRO)OFF OF ASSOC REG DIRECTOR (ENF) OFFICE OF REGIONAL DIRECTOR (PLRO)OFF OF ASSOC REG DIRECTOR (ENF)P H I ~ E L P H I ~ . f g ~ N N S Y L V A N E . . . . . : I : > I : I ~ ~ ~ ! J . ~ I : I ~ ~ .. ~ ~ E . l ~ ~ y ~ ~ .....e : , . t i i : : : ~ U ~ : . : . . : : ~ : : j \ : : ' , ' , ' ' , , ' , ' ' , ' ..., ., ............... , ................ ... ....... .. .... ........ ............ .............................. . . .. ........................ :.;.;.:.:::....... " ...... ,'. ,. ',' .. .;....... . . .. ........ .... . . :.:-:-:-:-:-:-:-:- :-:::::::::::.:.: ..... . ."~ . w . . t : ~ ~ . , ~ ~ P : ~ ) ~ ( r : r ( . : . ./: :::.:::::}}/}},::::,),: , .., " ':::'}:::::::::::::::::::::::}:}}:::::"":::'::':: ::: :'}. / : : : : ' : " " ' .. ...... ..,.. ....,,,',',',',',',',,',',',',',',',',',',.,',.,.,.,,., .. ',',',',',',' ',',',',',,,', . .:.::::::::.:: .: : : : : : : : : ::.:.:. : : : : : "":.:.:::::::::::::.:.',',',',, ',',' ',',',',,',','.',',',',',',',',',',',E"""""""""""" "" ';""""""""'"24 . Tenure 25. Agency Use (b\-(6)t.,.n,.,p--,"f ,eor."-.f) (6 I ! - INone 3 - 10-PointlDisability 5 - 1 O-Point Other 1 J 0 - None 2 - ConditiOnal I I

: l . , , S - E ' o i n t - , - , - , ,1 i t C o m D ~ e ~ s a l - , . . . : . 1 0 : : . : - : . . . : p o : : : : i n : : : t / ~ C o : : : : m : . : ! : p : : : : e n . : : : . s a : : : : b : : . : : 1 : . : : : / 3 : : : . 0 , : : : . o _ + : : ~ _ ~ ~ - : . . : p e : : : : r m : : . : a : : : n : : : : e n ~ t _ : : : . . 3 : : . . . : - I . : . . : : n d ~ : : n : : i t : : . . . e ...-L__ ..L...__ --j! -=-=--=--=---=_----:-_. FEGLI l(b)(6) - - I 2-8__ n n t { l t l n c a l o _____ ----, 29. Pay Rate Determinan. Veterans Preference

] (b)(6) I o I33. Part-Time Hours Per. Retirement Plan I31. Service CompoDate (Leave) 32. Work Schedule

- s . l J i l l I S N Q A T A F m : : : m I : ; . .. ::::::. : : / i ~ : \ \ \ : : : \ : , : : : : t : . . HPosition Occupied

1 - Competitive Service 3 - SES General2 - Excepted Service 4 - SES Career Reserved. Duty Station Code42-6540-101. Agency DCLSRemarks

35 . FLSA Category 36 . Appropriat ion Codel(b)(6) E - ExemptN - Nonexempt39 . Duty Station (C ity - County - State or Overseas Location)PHILADELPHIA,PHILADELPHIA,PENNSYLVANIA

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

Employing Department or Agency 50. Signature/Authenticationand Title of Approving OfficialSE - SECURITIES AND EXCHANGE

Agency Code 48 . Personnel Off ice 10SEOO 1057





6/19

Form 50-B7/91 of Personnel ManagementSupp. 296-33, Subch. 4Name (Last, First, Middlel

Code 5-B. Nature Of Action002 CORRECTION5-0. Legal Authority

Code 5-F. Legal AuthorityFROM: Position Title and Number

REGIONAL DIRECTOR15100000 OPROl12

NOTIFICATION OF PERSONNEL ACTION2. Social Security Number

6-A. Code 6-B. Nature of Action890 MISC PAY ADJ6-C Code 6-0. Legal AuthorityZLM P .L . 107-1236-E. Code 6-F. Legal Authority15. TO: Position Title and NumberREGIONAL DIRECTOR15100000 OPROl12

; ~ l a n I 9 . ~ c ; ~ o ~ 110. G ~ ~ / L e v e l l ~ ; t e p / R a t e 1 1 ~ ; 0 ; I ~ a ; r ~ 2 113. ;;:asis 16;; Plan 1 7 0 0 ~ c O ~ d e r 8 . ~ ; e / L e v e l Step/Rate 1 2 ; . ; ; a l ; ; a ~ / ~ w a r d 121. ;;:Basic Pay 1 1 ~ . L ; ~ t ~ ~ j ~ ; C ~ t ; ~ ~ i ~ a y 11;. Other Pay 20A. Basic Pay 12;. L ~ ~ t ; ~ j ~ 1 $ ; ~ A ~ . ; ~ i ~ a y 12;. Other Pay$182767 0 $189425 0Name and Location of Position's Organization 22. Name and Location of Position's Organization

SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSIONDIVISION OF ENFORCEMENT DIVISION OF ENFORCEMENTOFFICE OF REGIONAL DIRECTOR (PLRO) OFFICE OF REGIONAL DIRECTOR (PLRO)

PHILADELPHIA,PENNSYLVANI PHILADELPHIA,PENNSYLVANI..................................................... ................................. ....... ............................................... ........................................... ..............................................................................................

28. Annuitant Indicator 29. Pay Rate Determinant'(b)(6) o IRetirement Plan ..1.. " j c e ~ D a t e 32. Work Schedule 33. Part-Time Hours Per~ ; u : n Q n t y 8 : [ s ) t ( : : : : : : : : : : : : ? : : ; ~ ~ ~ : : : : : : ~ 0 : : m : : ~ : ; . i : : ? : HPosition Occupied

2 1 -Competitive Service2 -Excepted ServiceDuty Station CodeAgency D

CLS


3 -SES General4 -SES Career Reserved35. FLSA Category 36. Appropriation Code 37. Bargaining Unit Sta

8888PHILADELPHIA, PHILADELPHIA, PENNSYLVANIA

R I

50. Signature/Authentication and Title of Approving OfficialE - SECURITIES AND EXCHANGE JEFFREY A RISINGERAgency Code 48. Personnel Office 10

SEOO 1057ASSOCIATE EXECUTIVE DIRECTOR110845722y opy



7/19

50B. 7/91Off ice of Personnel ManagementSupp. 29633, Subch. 4


Code 5B. Nature Of Action894 GEN ADJ

50 . Legal AuthorityZLM P.L. 107-123Code 5F . Legal AuthorityFROM: Position Title and NumberASSOCIATE REGIONAL DIR15300000 OPR0154


6A. Code 6B. Nature of Action

6C Code 60. Legal Authority

6E. Code 6F. Legal Authority

15 . TO: Position Title and Number(EXAM) ASSOCIATE REGIONAL DIR (EXAM)

15300000 OPR0154; ~ l a n I 9 ~ c ~ ~ o ~ 1 10 G ~ ~ / L e v e l I ~ ~ S t e p / R a t e 1 1 ~ ; 0 ~ I ; a ; r ~ 0 1 1 3 . ; ~ a s i s 1 6 ; ~ Plan 1 7 ~ ~ c ~ ~ d e r 8 . ~ ; e / L e v e l Step/Rate 1 2 ; . ; 0 ; a ~ ; ~ / ~ w a r d 1 2 1 . ; ~

Basic Pay1 1 ; . L ; ; t ~ ~ j ~ I; ; ~ t ; ; ~ i ~ a y 11;. Other Pay 20A. Basic Pay 1 2 ~ . L ~ ~ t ~ ~ j ~ 1 ; ; ~ A ~ . ; ~ i ~ a y 12;. Other Pay$187464 0 $190276

Name and Location of Position's Organization 22. Name and Location of Position's OrganizationSECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSIONDIVISION OF ENFORCEMENT DIVISION OF ENFORCEMENTOFFICE OF REGIONAL DIRECTOR (PLRO) OFFICE OF REGIONAL DIRECTOR (PLRO)OFF OF ASSOC REG DIRECTOR (EXAMS) OFF OF ASSOC REG DIRECTOR (EXAMS)1 ? J : I ~ ~ ~ ~ : J : > J : I ~ ~ . ! . J : > ~ ~ ~ ~ ~ y ~ .. '" " ................................... .........1 ? J : I ~ ~ ~ ~ ~ ~ ! ~ r ~ ~ ~ . : . : ! ' y ~ : J : .................. ................................ .' ...........

Veterans Preference 24. Tenure 26. Veterans Preference fn 1 None 3 1OPoint/Disability __ '5.... ...:T-0. : . . . p o : : : : i n : : . : : t ~ 0 . : : t h : . . : ! e r = = = - = - ~ - : - : : = - : - - - L . . . . : 0 : . . . . . ~ N . : : o n : . : : e = : . : . : . . . . - - = - 2 _ . C : . : o : . : : : : : d i t : . : i o : : : . a _ ~ ~ _ - _ - -L .__ I'--=b:-(--=6,--=-; 2 5Point 4 10Point Compensable 6 10Point/Compensable/30% 1 Permanent 3 Indefinite -FEGLI ~ ( 6 ) 28 . .AnnuJtantlndlcJl.tQ,-- _ ___ 29. Pay Rate Determinant

: (b)(6) I33. PartTime Hours PerBiweekly

Position Occupied1 Competitive Service 3 SES General2 Excepted Service 4 SES Career Reserved

Duty Station Code42-6540-101, Agency DCLS

. Remarks

l(b)(6) E ExemptN Nonexempt39. Duty Station (City County State or Overseas Location)PHILADELPHIA,PHILADELPHIA,PENNSYLVANIA


Employing Department or Agency- SECURITIES AND EXCHANGEAgency Code 48. Personnel Office 10

SEOO 1057

60 . Signature/Authentication and Title of Approving Official


... P ~ y P e r i ( ) d ..37. Bargaining Unit Sta

8888

RI



8/19


Supp. 296-33, Subch. 4 NOTIFICATION OF PERSONNEL ACTIONName (Last, First, Middle) 2. Social Security Number 3. Date of Birth 4. Effective Date

.. . . : \ : . : . : : : : : : : : i i Q i D . , , ; - I ; : : : : / l ~ ~ : : ~ ......:::} /1 9 /1 0Code 5-B. Nature Of Action 6-A. Code 6-B. Nature of Action

002 CORRECTION 760 EXT OF APPT NTE 12-31-11Code 5-0. Legal Authority 6-C Code 6-0. Legal Authority

W9S SCH A, 213.3102 (R)5-F. Legal Authority 6-E. Code 6-F. Legal AuthorityFROM: Position Title and Number 15 . TO: Position Title and NumberSENIOR POLICY ADVISOR TO THE DIRECTOR SENIOR POLICY ADVISOR TO THE DIRECTOR35000000 ORSOO01 35000000 ORSOO01;

lan I9 . ~ c ~ ~ o ~ 11 O. G ~ ~ / L e v e l I ;tep/Rate 11 ;0;1 ; a ~ r ; 8 113. ; ; : as i s 1 Plan 17 O ~ ~ ~ d e 118. ~ r ~ d e / L e v e l Step/Rate 1 2 ; . ; ; a ~ ~ a ; ' ; w a r d 121. ; ; :Basic Pay

11 ; . L ~ ~ t ~ ~ j ~ 1 $ ; ~ A ; ~ ~ i ~ a y 11 ; . Other Pay 20A. Basic Pay 12 ; . L ~ ~ t ~ A ~ j ~ 1 ; ; C ~ A ; ~ ~ i ~ a y 1 2 $ ' Other Pay$189525 0 ~ 1 8 9 5 2 5 0Name and Location of Position's Organization 22. Name and Location of Position's Organization

SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSIONDIV OF RISK, STRATEGY, AND FINANCIAL DIV OF RISK, STRATEGY, AND FINANCIAL

WASHINGTON, DC~ ~ ~ ~ . ~ . ~ c : ; ~ 9 ~ , J : : ) g ................. ........ ... . ......................................................................................................-n 1 - None 3 - 10-Point/Disability2 - 5-Point 4 - 1O-Point Compensable

FEGLI l(b)(6) I~ - - - - - - - - - - ~

Position Occupied2 1 - Competitive Service2 - Excepted Service

Code11-0010-001Agency DCLS



e c" '---=-" "- .J..Z':I.-'---, I 42.

5 - 1O-Point Other6 - 10-Point/Compensable/30%

E - SECURITIES AND EXCHANGE48. Personnel Office 10

SEOO 1057

24. TenureO-NoneI':> I 1 - Permanent

28 . Annuitant Indicator(b)(6) 29. Pay Rate Determinanr--o--l33. Part-Time Hours Per

........... : : < : . : D ; ~ ; , ~ ; ; : . i ; ~ < .37. Bargaining Unit Sta

50. Signature/Authentication and Title of Approving OfficialJEFFREY A RISINGERASSOCIATE EXECUTIVE DIRECTOR110075359y opy

8888

RI



9/19

rd Form 50 -BOffice of Personnel Mana gementSupp. 296-33, Subch. 4 NOTIFICATION OF PERSONNEL ACTION

t, Midd le)

Code ~ ~ I i l l ! r . e Of Action(b)(6)8815-0. Legal Authority

DPM 5 U.S.C. CHAPTERCode 5-F. Legal AuthorityFROM: Position Title and NumberSENIOR ADVISOR35100000 ORA0012


I

87

SECURITIES AND EXCHANGE COMMISSIONDIV OF RISK, STRATEGY, AND FINANCIALOFFICE OF RISK ASSESSMENT

2. Social Security Number 3. Date of Birth



15 . TO: Position Title and NumberSENIOR ADVISOR35100000 ORA0012

22 . Name and Location of Position's OrganizationSECURITIES AND EXCHANGE COMMISSIONDIV OF RISK, STRATEGY, AND FINANCIALOFFICE OF RISK ASSESSMENT

! ? ' ; l ~ .!.NGTON , D C ; . . . . . . . . . . . . . . . . . . . . . . . ~ ! \ ~ : E : I : q : ' I . < 3 . ' : [ ' < : : > ~ , p ~ )(6) I 21 -_ N5_opnOe"nt 3 - 10-Point/Disability 5 - 10-Point Other 0 - None 2 - Conditional I I (b)(6)u 1\ v I II 4 - 1 O-Point Q ___ . : . . 1 . 0 - . . : . . : . . i n . . t / : . . . : . . o m . . p " - ' e . n s : . : b l . : : . : . . 3 0 : . ; ' * . . : _+1-::-:-L- , - -L_1_-_P..::::er..:..m"'anc..:e..:..nt'---'3..:..-..:..ln..:..d..::::ef..:..in..:..ite'--"--_----''--__ +-=-=--=---=-----=_ ----c-__FEGLI l(b)(6) I 28 . Annuitant Indicator 29 . Pay Rate Determinant~ - - - - - - - - - - ~ i(b)(6) IO l. Position Occupied

1 - Competitive Service 3 - SES General2 - Excepted Service 4 - SES Career Reserved. Duty Station Code



35 . FLSA Category

- SECURITIES AND EXCHANGEAgency Code 48 . Personnel Office 10

SEOO 1057

36 . Appropriation Code 37 . Bargaining Unit Sta

50 . Signature/Authentication and Title of Approving OfficialJEFFREY A RISINGERASSOCIATE EXECUTIVE DIRECTOR110061532y opy

8888



10/19

7/91Office of Personnel ManagementSupp_ 296-33, Subch_ 4

Name (Last, First, Middlel

894 GEN ADJCode 5-0_ Legal Author ity

ZLM P.L. 107-123Code 5-F_ Legal AuthorityFROM: Position Title and Number

DIRECTOR35100000 ORA0001


NOTIFICATION OF PERSONNEL ACTION2_ Social Security Number 3_ Date of Birth

6-C Code 6-0_ Legal Author ity

6-E_ Code 6-F _Legal Authority

15 . TO: Position Title and NumberDIRECTOR35100000 ORA0001

22_ Name and Location of Position's OrganizationSECURITIES AND EXCHANGE COMMISSIONDIV OF RISK, STRATEGY, AND FINANCIALOFFICE OF RISK ASSESSMENT

SECURITIES AND EXCHANGE COMMISSIONDIV OF RISK, STRATEGY, AND FINANCIALOFFICE OF RISK ASSESSMENT

29. Pay Rate Determinanto I

33_ Part-Time Hours PerBiweekly... .......... ........ . . . . . . : J t n : ~ ~ n ? ? : ..

~ ~ r ~ ~ i j j j j j j j j j j j j j j l j l j l j l j j j j ~ ~ j j j l j ] j [ j ] j l j ! ~ ; : ; ; i ; ; ; ; ; ; : ; : ; : : : : : : : : : : : : : : : : : : : : : : : . : ....... .Position Occupied

1 - Competitive Service 3 - SES General2 - Excepted Service 4 - SES Career ReservedDuty Station Code

11-0010-001, Agency DLSRemarks

35. FLSA Category 36 . Appropriation Codel(b)(6) E - ExemptN - Nonexempt39 . Duty Station (City - County - State or Overseas Location)WASHINGTON,DISTRICT OF COLUMBIA

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

Employing Department or Agency 50. Signature/Authentication and Title of Approving OfficialE - SECURITIES AND EXCHANGEAgency Code 48. Personnel Office 10


37 . Bargaining Unit Sta8888



11/19

Form 50-B7/91Office of Personnel ManagementSupp. 296-33, Subch. 4 NOTIFICATION OF PERSONNEL ACTION

Name (Last, First, Middle) 2. Social Security Number 3. Date of Birth

Code 5-B. Nature Of Action 6-A. Code 6-B. Nature of Action790 REALIGNMENT

5-0. Legal Authority 6-C Code 6-0. Legal AuthorityUNM MOU DATED 03/05/10Code 5-F. Legal Authority 6-E. Code 6-F. Legal AuthorityFROM: Position Title and Number 15. TO: Position Title and NumberASSOCIATE REGIONAL DIRECTOR (ENF) ASSOCIATE REGIONAL DIRECTOR10100000 OSF0809 10100100 OSF0809

(ENF)

Pay Planl9. Occ. Code 110. Grade/Level 111. Step/Rate 112. Total SalarySO 0905 02 00 $230700 113. ; ; : as i s 16;; Plan 1 7 ~ ~ c ~ ~ d e 1 1 8 . ~ r ; d e / L e v e l Step/Rate 1 2 ; . ~ 0 ; ~ ; ~ / ~ w a r d 121. ; ; :

Basic Pay 1 1 ~ . L ~ ; t ~ ~ j ~ 1 ; ; 3 A ~ . ; ~ i ~ a y 11 ; . Other Pay 0 20A. Basic Pay r;' L ~ ; t ~ A ~ j ~ 1 ; ; 3 A ~ . ; ~ i ~ a y 12 ; . Other Pay 0$188045 ~ 1 8 8 0 4 5 Name and Location of Position's Organization 22. Name and Location of Position's Organization

SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSIONDIVISION OF ENFORCEMENT DIVISION OF ENFORCEMENTOFFICE 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

.... ', ......................... .. ... ' .. .' ............................ ............................... ............................... .............................. ............................... ............................

Preference66)) r 1 - None 3 -10-Point/Disability2 - 5-Point 4 - 1O-Point Compensable

; ; ; ~ ; ~ ; f ; f ; f ; f ; f ; f ; f ; f ; f t ; f ; ~ ~ { ~ # : ~ : ) ; : : : : : ..; : ; : : ; : ; : ; : : : ~ : ~ : ~ ~ . ~ . : . : : ~ : ~ : ~ : : : : : : : : : : : : : : : ~ : f : f r : . : : : : : : : : : \ : ~ : ~ : : : ~ : : : : : : : : : : : . : : : : : : : : : : : : : : : : .. :;;;; . .;.:.;.;.:.:.;.;......... .:.:.:.:.:::.:::.::::::::::::::::: . '.:.:.:.:.'.'.'" ~ ; ~ ~ ~ ; i i ; ~ ; ; : I r 2 5 ~ A 9 ~ ~ ~ ~ u ~ ~ .....5 - 1 O-Point Other6 - 10-Point/Compensable/30%

24. TenureO-NoneI J. I 1 - Permanent

FEGLI l(b)(6) I" - - - - - - - - ~ 28. Annuitant Indicator(b)(6) 29. Pay Rate Determinanto I

33. Part-Time Hours PerBiweekly

. ................................................................... ...................).. . . r ~ r . ~ . ~ . n g ~ ..........Retirement Plan J31. Service Compo Date (Leave) 32. Work Schedule

I t!.:JFULL-TIMEO 'C!IT-lma:ln:1:Tft .... :.:.:.:.:.::.:.::.:.:.:.:.....::::::::::.\t::::::::::::;;::;::::;::;;:;:;:;;;;;;;;;; ........... N ............. Q: :1:: "'U:w:::::W"::. : : . ~ .:..........................................................................................................................Position Occupied 35. FLSA Category 36. Appropriation Code 37. Bargaining Unit Sta

1 - Competitive Service 3 - SES General2 - Excepted Service 4 - SES Career ReservedDuty Station Code

. Agency 0CLS

Remarks


E - ExemptN - Nonexempt39. Duty Station (City - County - State or Overseas Location)

50. Signature/Authentication and Title of Approving Official- SECURITIES AND EXCHANGE JEFFREY A RISINGER48 . Personnel Office 10

SEOO 1057 ASSOCIATE EXECUTIVE DIRECTOR101354088y opy

8888

RI



12/19


Supp. 296-33, Subch. 4Name (Last, First, Middle)


. i l " i ~ i i L : : : ' ~ : : { { : ~ : : : : ; ; : : : : : : : : : : ; : : : : : : : : . : i b ) \ : : : ~ : " i ~ i i i i i i i i i i i : ~ i i i i i i ~ i ~ i i i i i i i i : : i ~ i i i i i i i i O W : ; ; T I ~ a J . : i : : ~ : : } ~ ~ : ; . ' . : ... . .~ ~Code 5-B. Nature Of Action 6-A. Code 6-B. Nature of Action890 MISC PAY ADJ

5-0. Legal AuthorityZLM P.L. 107-123Code 5-F. Legal AuthorityFROM: Position Title and Number

REGIONAL DIRECTOR10000000 OLA0687

and Location of Position's OrganizationSECURITIES AND EXCHANGE COMMISSIONDIVISION OF ENFORCEMENTOFFICE OF REGIONAL DIRECTOR (SFRO)


6-E. Code 6-F. Legal Autho rity

15 . TO: Position Title and NumberREGIONAL DIRECTOR10000000 OLA0687

22 . Name and Location of Position's OrganizationSECURITIES AND EXCHANGE COMMISSIONDIVISION OF ENFORCEMENTOFFICE OF REGIONAL DIRECTOR (SFRO)

.. F ~ ~ r . . S C 9 ! ~ ? . . ! . f . 9 . ~ r . . ~ ............................................................................. .... ~ ~ ~ ! . ~ g . r ~ ? . . ! . ! ! O R N I A : : : : ~ ~ r r ~ : : ~ \ \ : . : : : : : / ~ : ~ / : : : : : : t ~ : : : : : : : : : : : i : : : : : ~ : : : . : : : : : : : : : : : : : : : : r : ~ : ? ~ : : . . : : : ~ \ : : : : : : : : ) ( : r r r i ~ : r : i ~ i ( :r> ....... .::: :..:.:.... : . : . : .:::..:::.: . .: .....

Veterans Preference 24. Tenure 26. Veterans Preference f1 - None 3 - 10-Point/Disability 5 - 1O-Point Other 0 - None 2 - Conditional 1- - - - - ,2 - 5-Point 4 - 1O-Point Compensable 6 - 10-Point/Compensable/300/0 1 - Permanent 3 - Indefinite

FEGLI (b)(6) 29 . Pay Rate Determinan= = = = = = = = = = = = = = = = = = = = ~ = = = = = = = = ~ - = = = = = = = = = = = = = = = = L ______+ - ~ O ~ _____

~ e l i , - e m e o t 1 ' l a n _ _ _ _ _ ---, 31. Service Compo Date (Leave) 32. Work Schedule 33 . Part-Time Hours Per] [(b)(6) I ULL-TIME .HH.H ..... H H H H H ~ ~ ~ e : . : : i ~ d

! l l n J / i Q I T I m ; T I I / ~ i i i : f i : i i i ~ . : ) ; : ; : : \ : : : : : : : : : : : : : :::::ir I D : ~ : ; T ' = ' = ' = i ; ; ; ; ; ; ; ; T ; : : i ~ i i i i : i : ~ : i i i ~ i i i : i ~ i : : : : : i ~ i i : i : : : : : : : } : n } r r / : : : : : : : : ( ( ( : \ { : : : Position Occupied 35 . FLSA CategoryE-Exempt

36. Appropriation Code 37 . Bargaining Unit Sta1 - Competitive Service 3 - SES General2 - Excepted Service 4 - SES Career Reserved

Duty Station Code06-3290-075. Agency DCLS


N - Nonexempt39. Duty Station (City - County - State or Overseas Location)

SAN FRANCISCO,SAN FRANCISCO,CALIFORNIA

50. Signature/Authentication and Title of Approving OfficialE - SECURITIES AND EXCHANGE JEFFREY A RISINGER

Agency Code 48. Personnel Ottice IDSEOO 1057 ASSOCIATE EXECUTIVE DIRECTOR100888665y opy

8888



13/19




':'.':'.':'.':'.':'.':'.':'.':'.':'.':'.':'.':.:.'::.'::.'::.'::."':'.':'.:':':':':':'.:':'.:':'.:: .:'.:':'.:'::.:'.:'.:'.:'.:'.:'.':'.:'.:'.:'.:'.:'.:'.:,axx.:'e... :n:: - " X N x :t i. : . b :::. : j{(. . : : . : :1!'.::.:.:.f.:.ft.:::. .Ni... . : ' : ' : ' ' : ' ' 1(.::)..(6.:..: ::::::::::::: :::::::::: ~ : :::: . ~ .: ... ..... . ~ ~ _ " " i i i j i ~ 1 r ~ ~ / / 1 ~ ~ : ~ ( : : ~ ~ : : ; : i : : : : : : : : " ' : : : : : ~ : ~ : : : : : ~ ) : { { ) ) Q U . M ~ : : I : , UCode 5-B. Nature Of Action 6-A. Code 6-B. Nature of Action894 GEN ADJ

Code 5-0. Legal Authorit yZLM P.L. 107-123Code 5'F. Legal AuthorityFROM: Position Title and Number

DEPUTY DIRECTOR45010000 OTM0778

and Location of Position's Organization



15, TO: Position Title and NumberDEPUTY DIRECTOR45010000 OTM0778

22. Name and Location of Position's OrganizationSECURITIES AND EXCHANGE COMMISSIONDIVISION OF TRADING AND MARKETSOFFICE OF DEPUTY DIRECTORSECURITIES AND EXCHANGE COMMISSIONDIVISION OF TRADING AND MARKETSOFFICE OF DEPUTY DIRECTOR

W A S ~ F ~ G ~ < ? ~ . t D c: . . . . . . .. . . . .. ...... ................................... . . . . . . . . . . . ~ ~ ~ ! . ~ < 3 . ' l : ' 9 ~ , . J : : ) ~ ..W i : : : : M U E E : : ~ : : i t : : ! ! ! i ! ! ! : : A : : : : : : : : : : . ' ' ' : : .' ' ' ' ' ' ' ' ' ' ' ' ' ' ' ' : :. ' ' ' ' : : .' ' : : .' ' ' ' ' ' : : .' ' ' ' ' ' ' ' ' ' ' : . :. :. ' : .' : : ' '" ........................................:.... ....... ., . :. . .: ..:.. .: ........ .: .... .:.:. . : ~ . : ~ : : r : : ~ . : ~ . : ~ . : ~ . : ~ . : ~ . : ~ . : ~ . : ~ . : ~ . : ~ . : ~ . : ~ . : ~ . : \ } : ; : : : : : : : : : : : - : - : ....... ./ : q , f : M : : ~ ) ) : : , : : ,: : , : , " , :\ \ " , : ) , , ? : , : ) ) ) ( : / ) ) ) ) \ : .: . : ....

26. Veterans Preference f1 - None 3 - 10-Point/Disability2 - 5-Point 4 - 10-Point Compensable 5 - 1O-Point Other6 - 10-Point/Compensable/30% i(b)(6)

FEGLI I(b)(6) Ii '--._____ - - . J .

2 1 - Competitive Service2 - Excepted ServiceDuty Station Code11-0010-001, Agency DCLSRemarks


28. Annuitant Indicator(b)(6)

35. FLSA Category 36. Appropriation CodeE - ExemptN - Nonexemptb)(6)

39. Duty Station (City - County - State or Overseas Location)W A S ~ I N G T O N , D I S T R I C T OF COLUMBIA


Employing Department or Agency 50. Signature/Authenticationand Title of Approving Official- SECURITIES AND EXCHANGEAgency Code 48 . Personnel Office 10


29. Pay Rate Determinant




14/19

Form 50-B7/91Office of Personnel ManagementSupp_ 296-33, Subch_ 4 NOTIFICATION OF PERSONNEL ACTION


890 MISC PAY ADJCode 5-0_ Legal Authority

ZLM P.L. 107-123Code 5-F _Legal AuthorityFROM: Position Title and NumberASSOCIATE DIRECTOR (T&M)45120000 OMR0563

Name and Location of Position's OrganizationSECURITIES AND EXCHANGE COMMISSIONDIVISION OF TRADING AND MARKETSOFF OF TRADING PRACTICES & PROC

9 ' 1-NoneI 2 - 5-Point 3 - 10-Point/Disability4 - 1O-Point Compensable 5 - 1O-Point Other6 - 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 NumberASSOCIATE DIRECTOR (T&M)45120000 OMR0563

22. Name/-and Location of Position's OrganizationSECURITIES AND EXCHANGE COMMISSIONDIVISION OF TRADING AND MARKETSOFF OF TRADING PRACTICES & PROC

WASHINGTON,DC

I O-None1 - Permanent!"25:iigericyuse

2 - Conditional I I3 - Indefinite24. Tenure1 (b)(6)26. Veterans Preference fFEGLI l(b)(6) 1 r - ; c ; - ' A c u - t n n i , - , -a ______

l(b)(6)29. Pay Rate Determinano I

~ J.:..::..... : .. :::: .:::::::::::::::::.:.:.:::.: ::.::::::::::::: .. .J ) I D . N I I A m g : n r \ : F ~ : ~ ? \ ) : : : : : : : : :.:..:: . ::.:.:'. ::::::::::: ..2 1 - Competitive Service2 - Excepted ServiceDuty Station Code11-0010-001, Agency DCLSRemarks


3 - SES General4 - SES Career Reserved35. FLSA Category

I l h \ l ~ \ E - ExemptN - Nonexempt36:Appropriation Code

39. Duty Station (City - County - State or Overseas Location)

50. Signature/Authentication and Title of Approving'Official


E - SECURITIES AND EXCHANGE JEFFREY A RISINGER48 . Personnel Office 10




15/19




' :: : . : . . :: : . .... :En:..:. . , : , ~ .::::X.N . : : ~ n.:.::-:: . ..:.-. : ~ . : . ... .I.::.ft... ::t.o.:., . 1: . :. , : . : . , , , , , , , , , , , . 1=b)=6= ~ ~ ~ + + ~::}}:f:ffi::::::::::::::::::::: ::::: i i i. HQI U I ~ Code 5-B. Nature Of Action 6-A. Code 6-B. Nature of Action170 EXC APPT

Code 5-0. Legal Authority 6-C Code 6-0. Legal AuthorityZLM 5 U.S.C. 31145-F. Legal Authority 6-E. Code 6-F. Legal AuthorityFROM: Position Title and Number 15. TO: Position Title and NumberDIRECTOR, TRADING AND MARKETS

45000000 OMR0487Pay Planl9. Occ. Code 110. Grade/Level 111. Step/Rate 112. Total Salary 113. Pay Basis 16;; Plan 1 7 ~ ~ c ~ ~ d e r ~ r ; d e / L e v e l ~ , ~ S t e p / R a t e r ; ; ; a ~ ; ~ / ~ w a r d 121 . ; ; :

Basic Pay I 2B. Locality Adj. I 2C. Adj. Basic Pay 1120. Other Pay 20A. Basic Pay 1 2 ; . L ~ ; t ; ~ j o 1 ; ; C 3 A ~ . ; ~ i ~ a y 1 2 ; . Other Pay$188450 0Name and Location of Position's Organization 22. Name and Location of Position's OrganizationSECURITIES AND EXCHANGE COMMISSIONDIVISION OF TRADING AND MARKETS

WASHINGTON,DC................. ........ " ......... ............. ................. ......... ............................................................................................... ....................................................................................................................................... ..................................................................................1 - None 3 - 10-Point/Disability2 - 5-Point 4 - 10-Point Compensable

(b)(6)

Position Occupied1 - Competitive Service 3 - SES General2 - Excepted Service 4 - SES Career Reserved

Duty Station Code



24. Tenure5 - 1O-Point Other6 - 10-Point/Compensable/300/0 2 0- None1 - Permanent 2 - Conditional f - - - - - - ,3 - Indefinite

29. Pay Rate Determinano35. FLSA Category 36. Appropriation Code 37. Bargaining Unit Sta

EO' ExemptN - Nonexempt 888839. Duty Station (City - County - State or Overseas Location)

50. Signature/Authentication and Title of Approving OfficialE - SECURITIES AND EXCHANGE JEFFREY A RISINGER48. Personnel Office 10




16/19


Supp. 296-33, Subch. 4 NOTIFICATION OF PERSONNEL ACTIONName (Last, First, Middle)

880 CHG IN TENURE GROUP5-0. Legal Authority

KMM REG 315.202Code 5-F. Legal AuthorityFROM: Position Title and Number

MANAGEMENT ANALYST45130000 OED0870

Name and Location of Position's OrganizationSECURITIES AND EXCHANGE COMMISSIONDIVISION OF TRADING AND MARKETSOFFICE OF BROKER/DEALER FINANCES

3. Date of Birth



15, TO: Position Title and NumberMANAGEMENT ANALYST45130000 OED0870

22. Name and Location of Position's OrganizationSECURITIES AND EXCHANGE COMMISSIONDIVISION OF TRADING AND MARKETSOFFICE OF BROKER/DEALER FINANCES

FEGLI I(b)(6) I 28. Annuitant Indicator 29. Pay Rate Determinantn l(b)(6) I 0 I


Duty Station Code11-0010-001, Agency DCLS


35. FLSA Categoryi (b) 1E - Exempt116L N - Nonexempt

36. Appropriation Code

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

50. Signature/Authenticationand Title of Approving Official


RI

SE - SECURITIES AND EXCHANGE JEFFREY A RISINGERAgency Code 48. Personnel Office 10




17/19




~ i i l J i t : : : ~ : : : : : : i j : ! i i i ~ : : i : : : ~ : : : : : f U : : : : : : } : ) ) { { : : : ' : : : : ~ Q i ~ c . m I J N : ) ~ : : ~ : : . ~ ...... ~ . ~ ~ ~ -Code 5-B. Nature Of Action 6-A. Code 6-B. Nature of Action

894 GEN ADJCode 5-D. Legal Autho rity 6-C Code 6-D. Legal Authority

ZLM P.L. 107-123Code 5-F. Legal Author ity 6-E. Code 6-F. Legal AuthorityFROM: Position Title and Number 15 . TO: Position Title and NumberASSOCIATE DIRECTOR (CAPITAL MARKETS) ASSOCIATE DIRECTOR (CAPITAL MARKETS)45130000 OMR0811 45130000 OMR0811

Name and Location of Position's Organization 22. Name and Location of Position's OrganizationSECURITIES AND EXCHANGE COMMISSIONDIVISION OF TRADING AND MARKETSOFFICE OF BROKER/DEALER FINANCES

SECURITIES AND EXCHANGE COMMISSIONDIVISION OF TRADING AND MARKETSOFFICE OF BROKER/DEALER FINANCES

Veterans Preference1 - None 3 - 1O-Point/Disability2 - 5-Point 4 - 10-Point Compensable


Duty Station Code11-0010-001. Agency DCLSRemarks

24. Tenure5 - 1 O-Point Other6 - 10-Point/Compensable/30% 0 - None1 - Permanent 2 - Conditional 1 - - - - - ,3 - Indefinite

28. Annuitant Indicator(b)(6)

35. FLSA Category 36. Appropriation CodeE - ExemptN - Nonexempt

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

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

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

Agency Code 48 . Personnel Office 1'0SEOO 1057


29. Pay Rate Determinant




18/19



Code 5-B. Nature Of Action721 REASSIGNMENT

Code 5-0. Legal Authority


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


WDM SCH A 213.3102(D)5-F. Legal Authori ty 6-E. Code 6-F. Legal AuthorityFROM: Position Title and Number 15 . TO: Position Title and Number

COUNSEL COUNSEL45010000 OMR0899 45000000 OMR0899; ~ I a n 19. ~ c ~ ~ o ; /1 O. G ~ ~ / L e v e l I ~ S t e p / R a t e /1 ;0;1 ~ a ; r ~ 0 /13. ; ; : as is 16.Pay Plan 17. Occ. Code /18. Grade/Levelb. Step/Rate .120. Total Salary/Award 121 . PaySO 0905 02, 0 $230700 PA

Basic Pay/1;. L ; ; t ~ ~ j ~ ~ C ~ A ~ . ; ~ i ~ a y 1 1 ; . Other Pay 20A. Basic Pay 1 2 ; . L ; ; t ~ ~ j ~ I ; ; C ~ A ~ . ; ~ i ~ a y 1 2 ; . Other Pay$190857 0 ~ 1 9 0 8 5 7

and Location of Position's Organization 22. Name and Location of Position's OrganizationSECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSIONDIVISION OF TRADING AND MARKETS DIVISION OF TRADING AND MARKETSOFFICE OF DEPUTY DIRECTOR

WASHINGTON,DC..... . ............ ......................... ~ ~ ! ! .! ~ ~ ' ! ' g ~ ' . . P . s : ........................... .......................... ..................... . .. .... ., .. ....................: :::::: ;::::::::::::::::::::;:::::;::::::::::::.:.:..;...... ~ ~ . ~ ~ . ~ ~ . ~ . ~ : ~ : r r ~ t : r . : ; . : : . : ; . ; ; . ; ; ; ; . ; ; . ; ; . ; ; . ; ; . ; ; ; . ~ ; . ~ ; . ~ ~ . ~ ~ . ~ ~ . ~ ~ . ~ ; . : : . ; ; . ; ; . ; ; . ; ; ; ; ; ; ; : ; : ; : ; : ; : : : : : : . : . : . : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : . : . : ....... .Veterans Preference :::::::: ::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::: 24. Tenure : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : : ' [ : ; : r : ~ : ~ ~ ~ ~ ~ : : U ~ ~ : : : : : : : : : : : : 26. Veterans Preference f

1 - None 3 -10-Point/Disability 5 -10-Point Other r---:,------,1 0 - None 2 - Conditional I I '(b)(6)I 2 - 5-Point 4 - 1 O-Point Compensable 6 - 10-Point/Compensable/300/0 I..L I 1 - Permanent 3 - IndefiniteFEGLI l(b)(6) I 28. Annuitant Indicator 29. Pay Rate Determinan

" - - - -_________ ----.J (b)(6) I

2 1 - Competitive Service2 - Excepted Service11-0010-001. Agency DCLS


o I35. FLSA Category 36. Appropriation Co(ie 37. Bargaining Unit Sta(b)(6) E - ExemptN - Nonexempt 888839. Duty Station (City - County - State or Overseas Locationl

WASHINGTON,DISTRICT OF COLUMBIA

50. Signature/Authentication and Title of Approving Official- SECURITIES AND EXCHANGE JEFFREY A RISINGER48. Personnel Office 10




19/19


Supp. 296-33, Subch. 4 NOTIFICATION OF PERSONNEL ACTIONName (Last, First, Middle) 2. Social Securi ty Number 3. Date of Birth

:==:::::/:t ? : : ( : ( : = = : : = ~ : o . l l ~ c ; n J N : : : : ( / : ~ ...... ~ ~Code 5-B. Nature Of Action 6-A. Code 6-B. Nature of Action170 EXC APPT

Code 5-0. Legal Author ity 6-C Code 6-0. Legal AuthorityWDM SCH A, 213.3102(D)5-F. Legal. Authority 6-E. Code 6-F. Legal Authority

15 . TO: Position Title and NumberDEPUTY DIRECTOR45010000 OTM0778

Planl9. Occ. Code 110. Grade/Level 111. Step/Rate 112. Total Salary 113. Pay Basis 16;; Plan 1 7 ~ ; c ~ ~ d e 1 1 B . ~ r ~ d e / L e v e l Step/Rate 1 2 ; . ; ; a ~ ~ a ~ / ~ w a r d 121. ; ; :Basic Pay 1 12B. Locality Adj. 1 12C. Adj. Basic Pay 11 20 . Other Pay 20A. Basic Pay

1 2 ; . L ~ ~ t ~ ; j ~ 1 ; ; ~ A ~ . ; ~ i ~ a y 1 2 ; . Other Pay$182064Name and Location of Position's Organization 22. Name and Location of Position's Organization

SECURITIES AND EXCHANGE COMMISSIONDIVISION OF TRADING AND MARKETSOFFICE OF DEPUTY DIRECTOR

........................... '.' ................... ....................... ... ............................ .. .........................................................~ ~ ~ .~ . ~ ~ : ! g ~ .t...P.S;. ........n 1 - N o n ~ 3 - 10-Point/Disability 5 - 10-Point Other I 0 - None 2 - Conditional I I l(b)(6)2 - 5-Pomt 4 - 10-Point Compensable 6 - 10-Point/Compensable/30% 2 1 - Permanent 3 - Indefinite

FEGLI l(b)(6) I 2B. Annuitant Indicator 29. Pay Rate Determinan' - - - - - - - - - - ~ (b)(6) 7 I

1 - Competitive Service 3 - SES General2 - Excepted Service 4 - SES Career Reserved

Agency DCLS

35. FLSA Category 36. Appropriation Code

33. Part-Time Hours PerBiweekly...................... . ........ . . . . . . . . J ~ ~ y ~ ~ ~ i ~ ?


RI___________________________________________________

Employing Department or Agency 50. Signature/Authentication and Title of Approving Official


sec fed pay docs 10/25/2011: part4

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