Académique Documents
Professionnel Documents
Culture Documents
Rev. 7/91
U.S. Office of Personnel Management
FPM Supp. 296-33, Subch. 4
1. Name (Last, First. Middlel
5-A. Code 5-B. Nature Of Action
002 CORRECTION
5-C. Code 5-0. Legal Authority
5-E. Code 5-F. Legal Authority
7. FROM: Position Title and Number
SPECIALITY UNIT CHIEF
40000000 OEN1032
NOTIFICATION OF PERSONNEL ACTION
2. Social Security Number 3. Date of Birth
... ......... ............................... ............................... ... ................ .......
6-A. Code 6-B. Nature of Action
890 MISC PAY ADJ
6-C Code 6-0. Legal Authority
ZLM P.L. 107-123
6-E. Code 6-F. Legal Authori ty
15. TO: Position Title and Number
(SEC SPECIALITY UNIT CHIEF (SEC
40000000 OEN1032
8. 1
10
. 1
113. 16;; Plan Step/Rate 1
21
.
12A. Basic Pay
11;. I;
11;. Other Pay
20A. Basic Pay
12;. A;i6
12;. Other Pay
$170966 0 0
14. Name and Location of Position's Organizat ion 22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION
DIVISION OF ENFORCEMENT DIVISION OF ENFORCEMENT
WASHINGTON, DC WASHINGTON, DC
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34. Position Occupied 35. FLSA Category 36. Appropriation Code 37. Bargai ning Unit Status
2
1 - Competit ive Service
2 - Excepted Service
38. Duty Station Code
40. Agency D
CLS
45. Remarks
E<_6_) _ _ _
46. Employing Department or Agency
3 - SES General
4 - SES Career Reserved
I
E - Exempt
N - Nonexempt
39. Duty Station (City - County - State or Overseas Location)
50. Signature/Authentication and Title of Approving Official
SE - SECURITIES AND EXCHANGE JEFFREY A RISINGER
47. Agency Code 48. Personnel Office 10
SEOO 1057
ASSOCIATE EXECUTIVE DIRECTOR
110671405
y opy
8888
Obtained by Judicial Watch October 3, 2011 through FOIA
Standard Form 50B
Rev. 7/91
U.S. Office of Personnel Management
FPM Supp. 29633, Subch. 4
1 . Name (last, First, Middle)
5A. Code 5B. Nature Of Action
721 REASSIGNMENT
5C. Code 5 0 . legal Authority
NOTIFICATION OF PERSONNEL ACTION
3. Date of Birth
6A. Code 6B. Nature of Action
6C Code 60. legal Authority
WDM SCH A/ 213.3102(D)
5E. Code 5 F. legal Authority 6E. Code 6F. legal Authority
7. FROM: Position Title and Number 15, TO: Position Title and Number
DIRECTOR DIRECTOR
40000000 OEN0679 40000100 OEN0679
8. 110.
113. ;;:asis 16;; Plan Step/Rate 121 . ;;:asis
12A. Basic Pay
11 $' Other Pay
20A. Basic Pay
12;.
12;. Other Pay
$187417 0 ?187417 0
14. Name and location of Position's Organization 22. Name and location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION .sECURITIES AND EXCHANGE COMMISSION
DIVISION OF ENFORCEMENT DIVISION OF ENFORCEMENT
OFFICE OF REGIONAL DIRECTOR (ARO)
DIVISION OF ENFORCEMENT .
WASHINGTON/DC
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27. FEGLI I 28. Annuitant Indicator 29. Pay Rate Determinant
l(b)(6) ] (b)(6) I 0 I
34. Position Occupied
2
1 . Competitive Service 3 SES General
2 . Excepted Service 4 . SES Career Reserved
38. Duty Station Code
40, Agency D
CLS
45. Remarks
46. Employing Department or Agency
SE - SECURITIES AND EXCHANGE
47. Agency Code 48. Personnel Office 10
SEOO 1057
37. Bargaining Unit Status
50. Signature/Authentication and Title of Approving Official
JEFFREY A RISINGER
ASSOCIATE EXECUTIVE DIRECTOR
101690200
y opy
8888
Obtained by Judicial Watch October 3, 2011 through FOIA
Standard Form 50-B
Rev. 7/91
U.S. Office of Personnel Management
FPM Supp. 296-33, Subch. 4
1. Name (Last, First, Middle)
NOTIFICATION OF PERSONNEL ACTION
2. Social Security Number 3. Date of Birth
.....
. , ........... ...........' .... '.' . . ' ........... . ...................... . ..... .............................................................................. ............................................................. , .... , ..
5-A. Code 5-B. Nature Of Action 6-A. Code 6-B. Nature of Action
890 MISC PAY ADJ
5-C. Code 5-D. Legal Authority 6-C Code 6-D. Legal Authority
ZLM P.L. 107-123
5-E. Code 5-F. Legal Authority 6-E. Code 6-F. Legal Authority
7. FROM: Position Title and Number 15. TO: Position Title and Number
UNIT CHIEF (STR. & NEW PRO UNIT CHIEF (STR. & NEW
40900100 OEN1035 40900100 OEN1035
PRO
113. ;;:asis 16;; Plan Step/Rate 121. ;;:asis
1 2A. Basic Pay
11;.
11;. Other Pay
20A. Basic Pay
12$.
120D. Other Pay
$177401 0 $188045 $
14. Name and Location of Positions Organization 22. Name and Location of Positions Organization
SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION
DIVISION OF ENFORCEMENT DIVISION OF ENFORCEMENT
DIVISION OF ENFORCEMENT DIVISION OF ENFORCEMENT
OFFICE OF ASSOC DIRECTOR OFFICE OF ASSOCDIRECTOR
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24. Tenure 26. Veterans Preference for RIF
34. Position Occupied
1 - Competitive Service 3 - SES General
2 - Excepted Service 4 - SES Career Reserved
38. Duty Station Code
40. Agency 0
CLS
45. Remarks
[(b)(6)
46. Employing Department or Agency
o
35. FLSA Category 36. Appropriation Code 37. Bargaining Unit Status
I (b) (6) E - Exempt
N - Nonexempt 8888
39. Duty Station (City - County - State or Overseas Location)
RI
50. Signature/Authentication and Title of Approving Official
SE - SECURITIES AND EXCHANGE JEFFREY A RISINGER
47. Agency Code 48. Personnel Office ID
SEOO 1057
ASSOCIATE EXECUTIVE DIRECTOR
110120749
y opy
Obtained by Judicial Watch October 3, 2011 through FOIA
Standard Form 50-B
Rev. 7/91
U.S. Office of Personnel Management
FPM Supp. 296-33, Subch. 4
1. Name (Last, First, Middle)
5-A. Code 5-B. Nature Of Action
170 EXC APPT
5-C. Code 5-D. Legal Authority
NOTIFICATION OF PERSONNEL ACTION
6-A. Code 6-B. Nature of Action
6-C Code 6-D. Legal Authority
WDM SCH A 213.3102(D)
5-E. Code 5-F. Legal Authority 6-E. Code 6-F. Legal Authority
7 _ FROM: Position Title and Number 15. TO: Position Title and Number
ASSOCIATE DIRECTOR
40000000 OEN0743
8. Pay Planl9. Occ. Code 110. Grade/Level 111. Step/Rate 112. Total Salary 113. Pay Basis
16;; Plan 17 r 8. b Step/Rate 1
21
. ;;:asis
12A. Basic Pay 1 12B. Locality Adj. 112C. Adj. Basic Pay /1 2D. Other Pay
20A. Basic Pay
120D. Other Pay
$182064
$ .
0
14. Name and Location of Position's Organization 22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
DIVISION OF ENFORCEMENT
..
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23. Veterans Preference
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2 - 5-Point 4 - 10-Point Compensable 6 - 10-PointiCompensable/30% 1 - Permanent 3 - Indefinite
J Indicator 29. ;y Determinant
34. Position Occupied
1 - Competitive Service 3 - SES General
2 - Excepted Service 4 - SES Career Reserved
38. Duty Station Code
11-0010-001
40. Agency D
CLS
45. Remarks
1 -
46. Employing Department or Agency
35. FLSA Category 36. Appropriation Code 37. Bargaining Unit Status
l(b)(6) E - Exempt
N - Nonexempt 8888
39. Duty Station (City - County - State or Overseas Location)
WASHINGTON,DISTRICT OF COLUMBIA
50. Signature/Authentication and Title of Approving Official
SE - SECURITIES AND EXCHANGE JEFFREY A RISINGER
47. Agency Code 48. Personnel Office ID
SEOO 1057
ASSOCIATE EXECUTIVE DIRECTOR
101657284
y opy
Obtained by Judicial Watch October 3, 2011 through FOIA
Standard Form 50-B
Rev. 7/91
U.S. Office of Personnel Management
FPM Supp. 296-33, Subch. 4
1 . Name (Last, First, Middle)
5-A. Code 5-B. Nature Of Action
880 CHG IN TENURE
5-C. Code 5-0. Legal Authority
PKM REG 351. 502
5-E. Code 5-F. Legal Authority
7. FROM: Position Title and Number
DEPUTY DIRECTOR
40000000 OEN0675
NOTIFICATION OF PERSONNEL ACTION
2. Social Security Number 3. Date of Birth
6-A. Code 6-B. Nature of Action
I
GROUP
6-C Code 6-0. Legal Authority
6-E. Code 6-F. Legal Authority
15. TO: Position Title and Number
DEPUTY DIRECTOR
40000000 OEN0675
8. 110.
113. ;;:asis
16.Pay Plan 17. Occ. Code J8. Grade/Level Step/Rate 120. Total Salary/Award r1. Pay Basis
SO 0905 020 $230700 PA
12A. Basic Pay
I; ;C
3
11;. Other Pay
20A. Basic Pay
1
2
$'
12;. Other Pay
$187417 0 $187417 0
14. Name and Location of Position's Organization 22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION
DIVISION OF ENFORCEMENT DIVISION OF ENFORCEMENT
... .. ...... ................. , .. , .. , .......... '.' .' ................................... ..
27. FEGLI l(b)(6) I 28. Annuitant Indicator
lM_(6) - - -------'. i(b)(6)
29. Pay Rate Determinant
o I
34. Position Occupied 37. Bargaining Unit Status
1 - Competitive Service
2 - Excepted Service
38. Duty Station Code 39. Duty Station (City - County - State or Overseas Location)
11-0010-001 WASHINGTON, DISTRICT OF COLUMBIA
40. Agency D
CLS
45. _ _____ _ _
I (b)(6)
L. ____ __ ______ ____ __
46. Employing Department or Agency
SE - SECURITIES AND EXCHANGE
47. Agency Code 48. Personnel Office 10
SEOO 1057
50. Signature/Authentication and Title of Approving Official
JEFFREY A RISINGER
ASSOCIATE EXECUTIVE DIRECTOR
101304337
y opy
8888
Obtained by Judicial Watch October 3, 2011 through FOIA
Standard Form 50-B
Rev. 7/91
U.S. Office of Personnel Management
FPM Supp. 296-33, Subch. 4 NOTIFICATION OF PERSONNEL ACTION
1. Name (Last, First, Middle) 2. Social Security Number 3. Oate of Birth
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5-A. Code 5-B. Nature Of Action 6-A. Code 6-B. Nature of Action
317 RESIGNATION
5-C. Code 5-0. Legal Authority 6-C Code 6-0. Legal Authority
RPM REG 715.202
5-E. Code 5-F. Legal Authority 6-E. Code 6-F. Legal Authority
7. FROM: Position Title and Number 15. TO: Position Title and Number
UNIT CHIEF (FOREIGN C P)
40600100 OEN1033
8. 11 O. I ;tep/Rate 11 $ ;0;1 0
113. ;;:asls
16.Pay Plan 17. Occ. Code 118. Grade/Level 119. Step/Rate 120. Total Salary/Award r1 . Pay Basis
12A. Basic Pay
11 $'
;C
3
11 $' Other Pay
20A. Basic Pay 120B. Locality Adj . 120C. Adj. Basic Pay 1200. Other Pay
$187417 0
14. Name and LO\'ation of Position's Organization 22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
DIVISION OF ENFORCEMENT
DIVISION OF ENFORCEMENT
OFFICE OF ASSOC DIRECTOR
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2 - 5-Polnt
3 - 10-PointlDlsability
4 - 10-Point Compensable
5 - 10-Point Other
6 - 10-Point/Compensable/30%
27. FEGLI l(b)(6)
I
28. Annuitant Indicator 2S. Pay Rate Determinant
(b)(6)
o I
34. Position Occupied 35. FLSA Category 37. Bargaining Unit Status
1 - Competitive Service 3 - SES General (b)(6) I E - Exempt 8888
___ ___ __ ____________________________________ -L __ ________ __
38. Duty Station Code 3S. Duty Station (City - County - State or Overseas Location)
11-0010-001
40, Agency D
CLS
46. Employing Department or Agency
SE - SECURITIES AND EXCHANGE
47. Agency Code 48. Personnel Office 10
SEOO 1057
WASHINGTON,DISTRICT OF COLUMBIA
50. Signature/Authentication and Title of Approving Official
JEFFREY A RISINGER
ASSOCIATE EXECUTIVE DIRECTOR
101985758
y opy
RI
Obtained by Judicial Watch October 3, 2011 through FOIA
Standard Form 50-B
Rev_ 7/91
U.S. Office of Personnel Management
FPM Supp. 296-33, Subch. 4
1. Name (Last, First, Middle)
NOTIFICATION OF PERSONNEL ACTION
2. Social Security Number 3. Oate of Birth
l(b)(6) l(b)(6)
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5-A. Code 5-B. Nature Of Action
890 MISC PAY ADJ
5-C. Code 5-0. Legal Authority
ZLM P.L. 107-123
5-E. Code 5-F. Legal Authority
7. FROM: Position Title and Number
SPECIAL COUNSEL
20000000 OES0602
14. Name and l.,ocation of Position's Organization
6-A. Code 6-B. Nature of Action
6-C Code 6-0. Legal Authority
6-E. Code 6-F. Legal Authority
15. TO: Position Title and Number
SPECIAL COUNSEL
20000000 OES0602
22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
OFFICE OF EXECUTIVE STAFF
SECURITIES AND EXCHANGE COMMISSION
OFFICE OF EXECUTIVE STAFF
27. FEGU l(b)(6) 28. Annuitant Indicator 29. Pay Rate Determinant
l(b)(6) 0 I
34. Position Occupied
1 - Competitive 3 - SES General
2 - Excepted Serif ice 4 - SES Career Reserved
38. Duty Station Code
11-0010-001
40. Agencv D
CLS
6 RlOm$:lr..!Lc::., _______ _ _
(b)(6)
46. Employing Department or Agency
35. FLSA Category
l(b)(6) E - Exempt
N - Nonexempt
36. Appropriation Code
39. Duty Station (City - County - State or Overseas Location)
WASHINGTON,DISTRICT OF COLUMBIA
50. Signature/Authentication and Title of Approving Official
37. Bargaining Unit Status
8888
SE - SECURITIES AND EXCHANGE JEFFREY A RISINGER
47. Agency Code 48. Personnel Office 10
SEOO 1057
ASSOCIATE EXECUTIVE DIRECTOR
100875162
y opy
Obtained by Judicial Watch October 3, 2011 through FOIA
Standard Form 50B
Rev. 7/91
U.S. Office of Personnel Management
FPM Supp. 296-33, Subch. 4
1. Name (Last, First, Middle,
NOTIFICATION OF PERSONNEL ACTION
2. Social Security Number 3. Date of Birth
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ttri: :::;:::::::(??::.:::\::::::::::::::: :.:\::...... ...::::::::::;:;:;({: : .. .:::
5-A. Code 5-B. Nature Of Action
317 RESIGNATION
5C. Code 5-0. Legal Authority
RPM REG 715.202
5-E. Code 5-F. Legal Authority
7. FROM: Position Title and Number
DEPUTY CHIEF OF STAFF
20000000 OES0912
6A. Code 6B. Nature of Action
6C Code 6 0. Legal Authority
6E. Code 6F. Legal Authority
15. TO: Position Title and Number
::;::):::::::::::::::
:.:-:.:.:.:.;.:.:...... .
8. Pay Plan 1 9. Occ. Code 110. Grade/Level 111 . Step/Rate 112. Total Salary 113. Pay Basis 16.Pay Plan 17. Occ. Code 118. G'rade/Level 119. SteplRate 120. Total Salary/Award 121. Pay Basis
SO 1 0905 02 00 $230700 PA 1 .
$185719
11;. Other Pay 0 20A. Basic Pay 1
20B
. Locality Adj. 1
20C
Adj . Basic Pay 1200. Other Pay
12A. Basic Pay
14. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
OFFICE OF EXECUTIVE STAFF
34. Position Occupied 35. FLSA Category
1 - Competitive Service 3 - SES General Ifb'f6' E - Exempt
2 - Excepted Service 4 - SES Career Reserved N - Nonexempt
22. Name and Location of Position's Organization
29. Pay Rate Determinani
o I
36. Appropriation Code
8888
38. Duty Station Code 39. Duty Station (City - County State or Overseas Location)
11-0010-001
40. Agency 0
CLS
45. Remarks
(b)(6)
46. Employing Department or Agency
SE - SECURITIES AND EXCHANGE
47. Agency Code 48. Personnel Office 10
SEOO 1057
50. Signature/Authentication and Title of Approving Official
JEFFREY A RISINGER
ASSOCIATE EXECUTIVE DIRECTOR
110651703
y opy
Obtained by Judicial Watch October 3, 2011 through FOIA
Standard Form 50-B
Rev. 7/91
U.S. Office of Personnel Management
FPM Supp. 296-33, Subch. 4 NOTIFICA nON OF PERSONNEL ACTION
1 . Name ILast, First, Middle)
890 MISC PAY ADJ
5-C. Code 5-0. Legal Authority
ZLM P.L. 107-123
5-E. Code 5-F. Legal Authority
7. FROM: Position Title and Number
DIRECTOR OF COMMUNICATION
20000000 ES11011
14. Name and Location of Position's Organization
2. Social Security Number 3. Date of Birth
_ J (b)(6) I l(b)(6)
:
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6-A . . Code 6-B. Nature of Action
6-C Code 6-0. Legal Authority
6-E. Code 6-F. Legal Authority
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DIRECTOR OF COMMUNICATION
20000000 ES11011
22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
OFFICE OF EXECUTIVE STAFF
SECURITIES AND EXCHANGE COMMISSION
OFFICE OF EXECUTIVE STAFF
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2
1 - Competitive Service
2 - Excepted Service
38. Duty Station Code
40. Agency D
CLS
45. Remarks
l(b)(6) -
L
46. Employing Department or Agency
35. FLSA Category 36. Appropriation Code 37. Bargaining Unit St atus
3 - SES General
4 - SES Career Reserved
I (b)(6) 1 8888
39. Duty Station (City - County - State or Overseas Location)
WASHINGTON,DISTRICT OF COLUMBIA
50. Signature/Authentication and Title of Approving Official
SE - SECURITIES AND EXCHANGE JEFFREY A RISINGER
47. Agency Code 48. Personnel Office 10
SEOO 1057
ASSOCIATE EXECUTIVE DIRECTOR
100875210
y opy
Obtained by Judicial Watch October 3, 2011 through FOIA
Standard Form 50-B
Rev. 7/91
U.S. Office of Personnel Management
FPM Supp. 296-33, Subch. 4
1 . Name (Last, First, Middle)
NOTIFICATION OF PERSONNEL ACTION
2. Social Security Number 3. Date of Birth
5-A. Code 5-B. Nature Of Action 6-A. Code 6-B. Nature of Action
894 GEN ADJ
5-C. Code 5-0. Legal Authority
ZLM P.L. 107-123
5-E. Code 5-F. Legal Authority
7_ FROM: Position Title and Number
CHIEF OF STAFF
20000000 OES6900
14. Name and LocatIon of Position's Organization
6-C Code 6-0. Legal Authority
6-E. Code 6-F. Legal Authority
15_ TO: Position Title and Number
CHIEF OF STAFF
20000000 OES6900
22. Name and Location of Position's OrganIzation
SECURITIES AND EXCHANGE COMMISSION
OFFICE OF EXECUTIVE STAFF
SECURITIES AND EXCHANGE COMMISSION
OFFICE OF EXECUTIVE STAFF
..... . .' D<;........ ...... ....... . .'. J?g ..
:.:.:".:".:-:-:-:.:- """".:-:."::.:...:,,....... :: ......." ..:-.::..: ........" ...." .. :':':':':' .::: ..::: ..:::".: .... ::: ..:::: .......... :.:: .. :.::::::.::::.::::.:':'.:' .... :: ..... ::::.::::::.::::.'::.:':'.:':"::.:'.':'.: ..'.: ..'.:. :.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.".:.:.".".".".""":::::::::':::::::.:::..: ..: ..:.: ..: .... :::.:::.:::.:::.:::.::'.':'.':'.:::.:::.:.:.'::.'::.'::.':::':::':::'::.'.::.' ::.' ::1":::': :',:::::'::: ::::':::::::::':::':::':::':::':::':::':::':::':::'.:':'.:':::':::'::.:'::.:'::::::: :.:::......................... :.:.:.:.:.:.:.:.:.:.:.:.:.:.:-:-:.:
.... ...:::::::::::::;::::.;.;.:.:.:.:. ::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::),
23. Veterans Preference 24. Tenure 25. Agency Use 26. Veterans Preference for RIF
1 - 3 -10-Point/Disability 5 -10-Point Other I 0 - None 2 - Conditional, I i(b)(6)
2 - 5-POInt 4 - 1 O-Point Compensable 6 - 10-Point/Compensable/30% 3 1 - Permanent 3 - Indefinite , I
27. FEGLI 28. Annuitant Indicator 29. Pay Rate Determinant
-l j(b)(6)
o I
Plan Compo Date 32. Work Schedule 33. Per
:.,..(.,..(.tp .... A.:,:..S( . . . I .. m. .::> . N. . : . .. .....)"'."'.':.r..::.:.:,.'.:.' .. ' . '.,.." . '.'.:.:,.:,.'.... : ..::.: ..: ..: .. : .. : ....::.:.. : .. : ..: .. : ..: ... :.:.::.::.::.:.:.: .:.:. : . ::.::.:. ::.:. ::.::.::.:. , . , .:.::.::.:.::.::.,:.: .. :.::.:.: .::.: .::...: ....='.':.::.::.::.::.::.,'.,'.'...,:.,:.:.,.,:.,. ......, .. " .:,.F:,.:., ...::.: :::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::.:::::::::::::::::::: .. ... ..
U ::1::: W: UM::I:::M :::::::::::::::::::::::::::::::::::::.:.:::::::::::::::::::::::::::::.:::::::::::::::::::.:::::::::::::::::::::::::::::::::::::::::::::::::::::;:;:;:;::::::::::::::.:.:....... .
34. Position OccupIed
2
1 - Competitive Service
2 - Excepted Service
38. Duty StatIon Code
40_ Agency 0
CLS
45. Remarks
3 - SES General
4 - SES Career Reserved
35. FLSA Category
(b)(6fI E - Exempt
,-,,-, I N - Nonexempt
36. Appropriation Code
39. Duty Station (City - County - State or Overseas Location)
SALARY INCLUDES A LOCALITY PAYMENT (OR OTHER GEOGRAPHIC ADJUSTMENT)
APPLICABLE IN THIS AREA.
46. Employing Department or Agency 50. Signature/Authentication and Title of Approving Official
SE - SECURITIES AND EXCHANGE
47. Agency Code 48. Personnel Office 10
SEOO 1057
AUTHORIZING OFFICIAL
100086131
y opy
37. Bargaining Unit Status
8888
Obtained by Judicial Watch October 3, 2011 through FOIA
Standard Form 50-B
Rev. 7/91
U.S. Office of Personnel Management
FPM Supp. 296-33, Subch. 4 NOTIFICATION OF PERSONNEL ACTION
1. Name (Last, First, Middle)
5-A. Code 5-B. Nature Of Action
894 GEN ADJ
5-C. Code 5-0 . Legal Authority
ZLM P.L. 107-123
5-E. Code 5-F. Legal Authority
7_ FROM: Position Title and Number
COUNSEL TO CHR./DIR./OLIA
20500000 OES0998
14. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
OFFICE OF EXECUTIVE STAFF
OFF/LEGIS & INT-GOVRNMTL AFFAIRS
3. Date of Birth
6-A. Code 6-B. Nature of Action
6-C Code 6-0. Legal Authority
6-E. Code 6-F. Legal Authority
15. TO: Position Title and Number
COUNSEL TO CHR./DIR./OLIA
20500000 OES0998
22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
OFFICE OF EXECUTIVE STAFF
OFF/LEGIS & INT-GOVRNMTL AFFAIRS
I DS.. .... : .. :.:.:.:.::.. ....................... ..... ...... .... .
.
.. :.:M ... .... ft.:.: : .. :.i .::.::::. :t\ .... ::: .. .... :.: ....r: . ::.::i!t .. :.:::.:::.:.n.:.: ... .:.,.,.::.w' .. : .. ::'.: .. :.' .::.::.::........... : ...: :: ..... ::::.::::: . : .. : . ::: .. : :: . : .: : . ::. :::::::: : ' : ' : .': ))::::::::::::::::::::::.::.::.::.::.::.:: ::::::::.:.'::.:::.:::.:.:.:.:.: .:.::.:.:.::.::.:.:.:.:.:.:.:.:.:.:.:::: :-:-:.:-:-:.:-:.:-:-: ... : .:.:.:.:-:-:- : . :-:-:.:-:.: ... : .............................. : .. : .. :::::::.:.: :.:.:.:.:.:.:.:-:.:. : . :.:.:. :.:.::::: ::::::::::::::::::::::::::::: ....... :::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::::: : : : : :::::: :::::::::::::-:.: . ...... .
I: U8:::I:::M ...... ........ ..........., .. ' ........... ' .., ...,' ..... :::::::::: :.:.:.:.:.:.:.:.:.:.:.'.:.:.:::::::::::::::::::::::::::::::::::::::::::::.:.:::.:.:.:.:.:.:.:.:::.:.:.:.:.:.::::::::::::::::::::::::::::::::::::::::;::::;::: :.:.;.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:...... ::::::::::::::::::::::::::::::::::::::::::::::::::::::;:::::::::::::::::::::::::::::::::;:::::;:;;;:::::::::::;:
23. Veterans Preference
3 - 10-Point/Disability
4 - 1 O-Point Compensable
34. Position Occupied
2
1 - Competitive Service
2 - Excepted Service
38. Duty Station Code
11-0010-001
40. Agency 0
CLS
45. Remarks
46. Employing Department or Agency
3 - SES General
4 - SES Career Reserved
24. Tenure
5 - 1 O-Point Other
6 - 10-Point/Compensable/30% 1
0- None
1 - Permanent
2 - Conditional 1----,
3 - Indefinite
J
28_. _ ___ ---,
(b)(6) ]
35. FLSA Category 36. Appropriation Code
E - Exempt
N - Nonexempt
39. Duty Station (City - County - State or Overseas Location)
50. Signature/Authentication and Title of Approving Official
SE - SECURITIES AND EXCHANGE
47. Agency Code 48. Personnel Office 10
SEOO 1057
AUTHORIZING OFFICIAL
100086500
y opy
26. Veterans Preference for RIF
(b)(6)
29. Pay Rate Determinant
o
37. Bargaining Unit Status
8888
Obtained by Judicial Watch October 3, 2011 through FOIA
Standard Form 50-B
Rev. 7/91
U.S. Office of Personnel Management
FPM Supp. 296-33, Subch. 4
1 . Name (last, First, M iddlel
5-A. Code 5-B. Nature Of Action
NOTIFICATION OF PERSONNEL ACTION
2. Social Security Number 3. Date of Birth
6-A. Code 6-B. Nature of Action
303 RETIREMENT-SPECIAL OPTION
5-C. Code 5-0. legal Authority 6-C Code 6-0. legal Authority
USM 5 U.S.C. CHAPTER 84
5-E. Code 5-F. legal Authority 6-E. Code 6-F. legal Authority
AZM 2009-049
7. FROM: Position Title and Number 15. TO: Position Title and Number
REGIONAL DIRECTOR
06000000 OFW0345
113. ;;:asls
16.Pay Plan 17. Occ. Code r8. Grade/level 119. Step/Rate 120. Total Salary/Award 121. Pay Basis
12A. Basic Pay
11;.
11 ;. Other Pay
20A. Basic Pay 120B. locality Adj. 120C. Adj. Basic Pay 1200. Other Pay
$192193 0
14. Name and Location of Position's Organization 22. Name and location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION
DIVISION OF ENFORCEMENT
OFFICE OF REGIONAL DIRECTOR (FWRO)
FORT WORTH, TEXAS
..' ........ ....................... : ..... ; ................................................... ' ...................... .., ..' ............... ............................,.,............................................., ............'.' ............. .......... . ...... . ................................................ ......... .............'.' ......,' . .................................................... ...........' ..,' ... .................... ... , .......' .....', .......... . ............., . .................
1'(b)(6) II 1 - None 3 - 10-Point/Disability 5 - 10-Point Other 2 I 0 - None 2 - Conditional I I I (b)(6) I
I' II 2 - 5-Point 4 - 10-Point Compensable 6 - 10-Point/Compensable/30% 1 - Permanent 3 -Indefinite
27. FEGU (b)(6) I 28. Annuitant Indicator 29. Pay Rate Determinant
l(b)(6) I l(b)(6) I 0 I
34. Position Occupied
1 - Competitive Service 3 - SES General
2 - Excepted Service 4 - SES Career Reserved
38. Duty Station Code
48-2450-439
40. Agency 0
CLS
45. Remarks
l(b)(6)
46_ Emploving Department or Agency
SE - SECURITIES
47. Agency Code 48. Personnel Office 10
SEOO 1057
35. FlSA Category
l(b)(6) 1 E - Exempt
36. Appropriation Code 37. Bargaining Unit Status
N - Nonexempt
39. Duty Station (City - County - State or Overseas locationl
FORT WORTH, TARRANT, TEXAS
50. Signature/Authentication and Title of Approving Official
JEFFREY A RISINGER
ASSOCIATE EXECUTIVE DIRECTOR
110512639
y opy
8888
Obtained by Judicial Watch October 3, 2011 through FOIA
Standard Form 50-B
Rev. 7/91
U.S. Office of Personnel Management
FPM Supp. 296-33, Subch. 4 NOTIFICATION OF PERSONNEL ACTION
1. Name (Last, First, Middle) 2. Social Security Number 3. Oate of Birth
_ J (b)(6) =t J(b)(6)
... . L. S :. .L .. ... E.:.::.:.:,.: ,:,::. R. ".:- :li: .....l:::6... : .... ... : ...:: N.:. R ...:::.:::,.:, :Y.: :::.:::,.:,::.:,.: .. ::.,:.. ::,::.::.: D.:,:,.:':'.:':'.:": . :": . :':::: .;.;.;.;:::::::::: :::::::::::::.: .. :-:.:.:.:.:. .......... .......... ::,.:.:....... .:.:.:.:.:.:.;.;.;.;.: ................... :::jXXeifiib;XXN N .."'j{:li'ii!iI:tsN .. ..,:
f::: ::;1::: M:Q::J::: w: ...... ::::;: ::::;::::::::. :.::.:.:............. fft(Q .. .. :,:.. .:Q. :.:. tnf>
5-A. Code 5-B. Nature Of Action 6-A. Code 6-B. Nature of Action
894 GEN ADJ
Soc. Code 5-0. Legal Authority 6-C Code 6-0. Legal Authority
ZLM P.L. 107-123
5-E. Code 5-F. Legal Authority 6-E. Code 6-F, Legal Authority
7. FROM: Position Title and Number 15. TO: Position Title and Number
ASSOC DIRECTOR (LEGAL & DISCLOSURE) ASSOC DIRECTOR (LEGAL &
.
55400000 OIM0781 55400000 OIM0781
DISCLOSURE)
8. 110.
113. ;;:asis 16;; Plan Step/Rate 1
21
. ;;:asis
12A. Basic Pay
11;.
11;. Other Pay
20A. Basic Pay
12;.
12;. Other Pay
$188198 0 0
14. Name and Location of Position's Organization 22. Name and Location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION
DIVISION OF INVESTMENT MANAGEMENT DIVISION OF INVESTMENT MANAGEMENT
OFF OF ASSOC DIR (LEGAL & DISCL) OFF OF ASSOC DIR (LEGAL & DISCL)
WASHINGTON, DC
.. ..
:,:,;.:,' .. , .. ,:..... ..... ..:.;. ...
:.: .: . ...... :.:.:.:.:.:.:.:.:.:.:.:.:.:.;.:.:.:.:. .:.:.'.:.:.: :.:.:.:.: :.:.:.:. ..................,.,...,',' ...., ..., .:.:...:.:.:.:.:.:.:.:.:....... ,
:::::: 111.1111:11:1:111111::::: :: <'::i: /:::::)::::\)\\::",}, ::: :.:.:.
.""",:.:::':':':::' .. ::::::::...:,:.:::.:::"':"': :::::::::::::::::::::::::::::::: :::-:::::.;.:':.;.: .;.;':':.;.;.:.;':.;.;':.:.:.:':':.;.;," :::.:.: ..,..... :::::::::::::::::::::::::::::::::::::::::::::::::::::::::>;.:......... .
........ ' ......................................................................................:.:.:.:.:.::::::::::::::::::::::::::::::::::::::::::.:.:. :::.:.:::.:::::::::::::::::::::::::::::::::::::::::::::::.':':'"
23. Veterans Preference 24. Tenure 26. Veterans Preference for RIF
@(6 J 1:
3 -10-Point/Disability 5 -10-Point Other 0 -None 2 - Conditional /-'----, [Tb)(6_)__ l
'4 - lO-Point Coml1""e"" ns."a", bl", e _ ;--::..6.:.. - __ .....L ___
Indicator
r
b
)(6)
27. FEGLI l(b)(6)
29. Pay Rate Determinant
33. Part-Time Hours Per
Biweekly
Pay Period
::::::::::::::::::::: .:':'.:':'.:':'.:'::.:'::.:.:'.:':'.:':'.:':'.:': ..:.:.:'.::'.:'
;::::::::::;:;:::::::
..
34. Position Occupied 36. Appropriation Code
1 -Competitive Service 3 -SES General
2 -Excepted Service 4 -SES Career Reserved
38. Duty Station Code
40. Agency D
CLS
45. Remarks
SALARY INCLUDES A LOCALITY PAYMENT (OR OTHER GEOGRAPHIC ADJUSTMENT)
APPLICABLE IN THIS AREA.
46. Employing Department or Agency 50. Signature/Authentication and Title of Approving Official
SE - SECURITIES AND EXCHANGE
47. Agency Code 48. Personnel Office 10
SEOO 1057
AUTHORIZING 'OFFICIAL
100065546
y opy
37. Bargaini ng Unit Status
8888
Obtained by Judicial Watch October 3, 2011 through FOIA
Standard Form 50-B
Rev. 7/91
U.S. Office of Personne(Management
FPM Supp. 296-33, Subch. 4 NOTIFICATION OF PERSONNEL ACTION
1. Name (Last, First, Middle) 2. Social Security Number 3. Date of Birth
::::i\ ,::pc VmSI!lliO "'N:" :.:.:-:.: .....::::::::::.',., :::;: ::::::::::::::::..:.:::.:..' . .:...... ::::;:::::::::::::::::;:: ::::::::;.:;:::;:::: :::
.
'.:..'::.:::.':: :'.':.'.. :.: .... : ....'::.:.:::.'::.,.:., ...... ::... :, ..... ' ..... :: ., ::.: .. :, .: ........... ':':':':':':':-:"':'::::', :.:,'. :::.:::.:::.:::.:.'.:... :.::.:'.:' ........................, ..... ' ... :-.-:-:-:-:.:.:.:.:.;::.;::::::::::.::::::::::::
5-A. Code 5-B. Nature Of Action 6-A. Code 6-B. Nature of Action
894 GEN ADJ
5-C. Code 5-0. Legal Authority 6-C Code 6-0. Legal Authority
ZLM P.L. 107-123
5-E. Code 5-F. Legal Authority 6-E. Code 6-F. Legal Authority
7. FROM: Position Title and Number 15. TO: Position Title and Number
ASSOCIATE DIRECTOR ASSOCIATE DIRECTOR
55500000 OIM0901 55500000 OIM0901
8. 19. 11 O. I ;tep/Rate 11 ;;1 0
113. ;;:asis Plan Step/Rate 121. ;;:asis
12A. Basic Pay
L;;t; I;
11;. Other Pay
20A. Basic Pay
12;.
12;. Other Pay
$188060 0 0
14. Name and Location of Position's Organization 22. Name and Location of Position' s Organization
SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION
DIVISION OF INVESTMENT MANAGEMENT DIVISION OF INVESTMENT MANAGEMENT
OFF OF ASSC DR (DISCL/INSR PRD RG) OFF OF ASSC DR (DISCL/INSR PRD RG)
......... ..... . ........... .................. ....... ....... ... . ... ............................................................ ................ ..
.
::,. :,.::, .:,i:! .. ::M. : .... ft .:.:: .. ...:,: ..:v..: .. :.. :,:E.:.::, E ... :,:'::",: N ... ,.: ...::.:.:' '''' ..:.:.... ... :, .... .... '.":: ",:,:,:}}",(" :::"":, :.:' .. ' .=, .. . : ... : ... :.,.:.::,:.:::':':::::::': :.:.: .:.:.::::: :.:.:.:.:.:.:. :.,,,,,:, .. :, ... ,.,.:.:.:.:.:.:.: .:.:.:.:.:.:. :.:.,.,. .. . . :',::::.::.:: ..:.'.':.':.':.')}:;::': ': .. . ........... ............................... : ::::::: ::::"':':' :"" :' ,:;:::::::.:.:........ .. . . . '::.:::.:::.:::.:::.:: .. :::.:, :. :::.:::.:::.:::. :,:'.' ::. : ,' """""" ,}:;::,:,:::::: ,. .. :.,.,,: ,:,:::::,:::::.,., .... ..
23. Veterans Preference
l(b)(6) Jl 1:
I
28. Annuitant Indicator
i(b)(6)
29. Pay Rate Determinant
o I
27. FEGLI l(b)(6)
30. Retirement Plan .,.1. , 31. Service Compo Date (Leave) 32. Work Schedule 33. Part-Time Hours Per
r.:.,. (.::,.b::.:: :pi.,( ... .. 6.: l'\ ... ... ..... :.'. Ii'I!!' ..':: .:,.,::I.n. : .. :.,:....: ..N ....... : .. . '. : .. . :" .. , .. : ..... , .,::A; ... : .... .. ",( "::::':::::: .. :::.:: .' .. :: ..::.' .. ': ..':.: ..::.' ..::'.,::.:.": .. .. b . .... :,.;.:.,.:.,.:.. : .. : .. : ... : ... : ... : .. :: ..: ... : .. : ..... ......... : ... :.:', ... ,:... ... . :.:' .. :.:' ... .. : ... .... . .
Ug:l::I ;:: Q 1iI#."':;I::;K :::::::;::::::::::::; ........... ;::::::;:::;:;:;:::;:::::::::::.:.::;:::::::::::::; :.:.:.:.:.:.:.:.:.:.:.:.:.:.;.;.;.:.:.:.:.:.:.: .....: .......:.:.:.:.:.:.:.:.:.: ...: ...; ...:.;.:................... ;':':';':';" ':':"':':':':':':':::::::::::::::::::::::::::::::::::::::::::::::::::::::::::.:.:.....: ....... .
34. Position Occupied 35. FLSA Category 36. Appropriation Code 37. Bargaining Unit Status
1 . Competitive Service 3 - SES General
2 - Excepted Service 4 . SES Career Reserved
38. Duty Station Code
11-0010-001
40. Agency D
CLS
45. Remarks
(b)(6)
E - Exempt
N - Nonexempt
39. Duty Station (City - County - State or Overseas Location)
WASHINGTON,DISTRICT OF COLUMBIA
SALARY INCLUDES A LOCALITY PAYMENT (OR OTHER GEOGRAPHIC ADJUSTMENT)
APPLICABLE IN THIS AREA.
46. Employing Department or Agency 50. Signature/Authentication and Title of Approving Official
SE - SECURITIES AND EXCHANGE
47. Agency Code 48. Personnel Office 10
SEOO 1057
AUTHORIZING OFFICIAL
100068412
y opy
8888
Obtained by Judicial Watch October 3, 2011 through FOIA
Standard Form 50-B
Rev. 7/91
U.S. Office of Personnel Management
FPM Supp. 296-33, Subch. 4
1. Name (Last, First, Middle)
894 GEN ADJ
5-C. Code 5-D. Legal Authority
ZLM P.L. 107-123
5-E. Code 5-F. Legal Authority
7. FROM: Position Title and Number
ASSOCIATE DIRECTOR
55200000 OIM0782
14. Name and Location of Position's Organization
NOTIFICATION OF PERSONNEL ACTION
2. Social Security Number 3. Date of Bi rth
6-C Code 6-D. Legal Aut hority
6-E. Code 6-F. Legal Authority
15. TO: Position Title and Number
ASSOCIATE DIRECTOR
55200000 OIM0782
22. Name and Location of Position' s Organization
SECURITIES AND EXCHANGE COMMISSION
DIVISION OF INVESTMENT MANAGEMENT
ASSOC DIR-EXEMPT APPS & SP PROJECTS
SECURITIES AND EXCHANGE COMMISSION
DIVISION OF INVESTMENT MANAGEMENT
ASSOC DIR-EXEMPT APPS & SP PROJECTS
....... .... ..... ....... ........... .................... . ............ ........... I DC
.. .. ...... .................... . :.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.;.:.:."",,:.:.:.:.:.:.:.;.;.'.:.' .....................................................:.:.:.:.:.:.:.:.:.:.:.:.:.................... :.; ...... .............. :.;.;.:.:. ...... ............................................. . ....................................:.:.. ............ : .... . .
....:.: ...:.:.:... .... .. ;:;:;:;:;:;:;:;:;:;:::::::::::::;:;:;::::::::::::::::;:::;:::::::;::::::::::::::::::::::::::::::;:;:;:::::' :.:.:.:::::: :.:.:.:.:.:.:.:.:.:.:.:::::::::.:.:...... .. .. .........
23. Veterans Preference 24. Tenure 26. Veterans Preference for RIF
I 1 - None 3 - 10-Point/Disability 5 - 10-Point Other I 0 - None 2 - Conditional I I (b)(6) I
I 2 - 5-Point 4 - 10-Point Compensable 6 - 10-Point/Compensabl e/30% 1 1 - Permanent 3 -Indefinite
29. Pay Rate Determinant
[(b)(6) Indicator
IQJ
34. Position Occupied
1 - Competitive Service 3 - SES General
2 - Excepted Service 4 - SES Career Reserved
38. Duty Station Code
40_ Agency D
CLS
45. Remarks
35. FLSA Category 36. Appropri ation Code
(
b)(6) ] E - Exempt
N - Nonexempt
39. Duty Station (City - County - State or Overseas Location)
SALARY INCLUDES A LOCALITY PAYMENT (OR OTHER GEOGRAPHIC ADJUSTMENT)
APPLICABLE IN THIS AREA.
46. Employing Department or Agency 50. Signature/Authentication and Title of Approving Offi cial
SE - SECURITIES AND EXCHANGE
47. Agency Code 48. Personnel Office I D
SEOO 1057
AUTHORIZING OFFICIAL
100063112
y opy
37. Bargaining Unit Status
8888
Obtained by Judicial Watch October 3, 2011 through FOIA
Standard Form 50-B
Rev. 7/91
U.S. Office of Personnel Management
FPM Supp. 296-33, Subch. 4 NOTIFICATION OF PERSONNEL ACTION
1. Name (last, First, Middle) 2. Social Security Number 3. Date of Birth
5-A. Code 5-B. Nature Of Action 6-A. Code 6-B. Nature of Action
721 REASSIGNMENT
5-C. Code 5-0. legal Authority 6-C Code 6-0. legal Authority
V5M 5 U.S.C. 3395 (A)
5-E. Code 5-F. legal Authority 6-E. Code 6-F. legal Authority
7. FROM: Position Title and Number 15. TO: Position Title and Number
ASSOCIATE DIRECTOR (REGULATION) DEPUTY DIRECTOR
DEPUTY DIRECTOR
55300000 OIM0419 55000000 OIM0905
113. ;;:asis Plan Step/Rate 121. ;;:asis
12A. Basic Pay
11;. Other Pay
20A. Basic Pay
12;.
12$' Other Pay
$193942 0 0
14. Name and Location of Position's Organization 22. Name and location of Position's Organization
SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION
DIVISION OF INVESTMENT MANAGEMENT DIVISION OF INVESTMENT MANAGEMENT
OFF OF ASSOC DIR (REG POLlIA REG)
..
.... .. ....................... ..... ..... ...... .. .................. ' ..............................................................
.............:::</:::::::::::::::::::::::::?:::::::::::: ::::::: :::::::: :::::::::::::::::::::::::
24. Tenure I 25. Agency Use 26. Veterans Preference for RIF 23. Veterans Preference
(b)(6) 1 - None 3 - 10-Point/Disability
I\UI\VI II 2 - 5-Point 4 -10-Point Compensable
5 - 10-Point Other I 0 - None 2 - Conditional I I II (b)(6) J-'
6 - 10-PointiCompensable/300/0 1 _J 1 - Permanent 3 -Indefinite _1
29. Pay Rate Determinant, 27. FEGLI (b)(6) I 28. Annuitant Indicator
______________________ ____________ __ ______ ______ ___
Plan . 33 . ..
34. Position Occupied
2
1 - Competitive Service 3 - .5ES General
2 - Excepted Service 4 - SES Career Reserved
38. Duty Station Code
40. Agency D
CLS
45. Remarks
46. Employing Department or Agency
35. FlSA Category 36. Appropriation Code 37. Bargaining Unit Status
(b)
E - Exempt
N - Nonexempt 8888
39. Duty Station (City - County - State or Overseas location)
WASHINGTON,DISTRICT OF COLUMBIA
50. Signature/Authentication and Title of Approving Official
SE - SECURITIES AND EXCHANGE JEFFREY A RISINGER
47. Agency Code 48. Personnel Office 10
SEOO 1057
ASSOCIATE EXECUTIVE DIRECTOR
111022673
y opy
Obtained by Judicial Watch October 3, 2011 through FOIA
Standard Form 50-B
Rev. 7/91
U.S. Office of Personnel Management
FPM Supp. 296-33, Subch. 4 NOTIFICATION OF PERSONNEL ACTION
1. Name (Last , First. Middle) 2. Social Security Number 3. Date of Birth
l(b)(6) I j (b)(6)