SEC Fed Pay Docs 10/25/2011: Part3

8/3/2019 SEC Fed Pay Docs 10/25/2011: Part3

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50 -B7/91

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

Name (Last. First . Middle) 2. Social Security Number 3. Date of Birthx x x ~ x ~ ..... J(b)(6)

: : ... . .:.:.:.:.:.:.:.:.:.:.: :. ........: : .. . :. : :.. : :..:..:..:..: ::::.:.: ..... ::.:-:-:.:.:-:-: :..:.. .:.:.:.:.:.:.:.:.:.:.:t l'...:.E.. : : . : : ..: : : :. h.. ... .. . :lI;.: : : : ~ : : : : i n: : : :: : iU:.. .: .:.:.:.:.:.:.:::.:.:.: .: ..:..:.."" ":.:.:.:.:.WM':.:.:.:.:.:""".:.:.:.:.:""".:.::.:.:.:.:.:.: .:.:.:.:.:.:.:.:.:.:.:.:-:.:.: -:.:.:.: .. .:.:.:.:.:.:.:.:.:.:.:.Mu ' U. M ~ : : : I : : W.I: ::::::::::::::;::::::=:: :.:::.:::.:::.:::::.:::::::::::::::::::::::::::::::::::::::::::::::::: :::::::::::;::::::::::::::::::::::::::::: :::: ::;:::::::::::::.:.:.:890 'MISC PAY ADJ

Code 5-0. Legal Authority

ZLM P.L. 107-123. Code 5-F. Legal AuthorityFROM: Position Title and NumberASSOCIATE REGIONAL DIRECTORCHIEF OF REGIONAL OFFICE OPERATIONS01900100 ONY1293

Name and Location of Position's OrganizationSECURITIES AND EXCHANGE COMMISSIONDIVISION OF ENFORCEMENTOFFICE OF REGIONAL DIRECTOR (NYRO)OFF OF ASSOC REG DIR (ENF)

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

6-C Code 6-0. Legal Authority

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

15. TO: Position Title and NumberASSOCIATE REGIONAL DIRECTORCHIEF OF REGIONAL OFFICE OPERATIONS01900100 ONY1293

22. Name and Location of Position's OrganizationSECURITIES AND EXCHANGE COMMISSIONDIVISION OF ENFORCEMENTOFFICE OF REGIONAL DIRECTOR (NYRO)OFF OF ASSOC REG DIR (ENF)

~ ~ ~ .. YORK, N E ~ ... ~ 9 . ~ ~ ............... ......................................................................................... .. X < ? ~ ~ , ..... ~ l ! : ~ ... X 9 ~ : r < : .....:((((::.).. :::.:}\\Li/:>.....:::::::::: . :.,::::::/::::::::::://::::::::::::::::L{////>... : :.':::::::::::::::::::::::::::::::::::::::::::::::24 . Tenure r a n s p r e f e r e n c e fb)(6 1 - None 3 - 10-Point/Disability 5 - 10-Point Other 1 0 - None 2 - Conditional )----,- 5 - e o - - . 4 0 ~ Q i o L C D e n s a b l e _ _ i n c . . : t / c . : c . . : . : o m . : . ; : p : . : o e : . ; . : n s . . : . : a b : . ; . ; l e : : . . : / 3 : . : o 0 c . . : % _ + -__ l.......C1_-...:.P..:.:er.:.cm..:.:an.:.:en:.;.:t_.::.3_-:.;.;Ind=ec..:fin.:.:it:.:.e--L.__ '-__ = = = = = =Veterans Preference

. FEGLI (b)(6) I 28 . Annuitant Indicator 29 . Pay Rate Determinant. (b)(6) I

. Retirement Plan 31 . Service Comp. Date (Leave) 32. Work Schedule-------------- l(b)(6) I FULL-TIME 33 . Part-Time Hours PerBiweeklyPay Per iodI : : J : f t I - ~ u a : ........................................................ ::::::::::::::::::::::::::::::::::::::::::;:::;: :::::::;;::::;:::;:::::::::::.: .-:.':.':.' :.':.':.' :.':.':.' :.':.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.=".:.=".:.=".:.=".:.=".:.=".:.::.:.::.::.::.::.::.:.::.:.::.:.=".:.=".:.=".:.=".:.= ".:. . :.::.::::.::.:. ...... : . : .. J ! : . : :: :.:.: :.:.:-:.:.:.:::::::-:-:::::.:::::::::::::::::.:.:.:::.:::.:::-:.:.:::::::::- .... . ~ r i 1 j i ~ i ~ ~ ! ) f ! ! ! ! ! ! ! ! ! ! ! { ! ! ! ! ! ~ ! ! ! ! ! ! ! ! ! ! r ! ~ ! f i ~ ! ! ~ i ! i ! ~ m i i ~ [ ~ ~ i r ~ : : : : : : : : :Position Occupied 36 . Appropriation Code 37 . Bargaining Uni t Sta

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

. Agency 0CLS. Remarks

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

SEOO 1057

50. Signature/Authenticationand Title of Approving OfficialJEFFREY A RISINGERASSOCIATE EXECUTIVE DIRECTOR111077692y opy

8888

Obtained by Judicial Watch October 3, 2011 through FOIA


2/28

60 -BS. Office of Personnel Management

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

. Code S-B . Nature Of Action 6-A. Code 6-B. Nature of Action881 (b)(6) I. Code 5-0. Legal Authority 6-C Code 6-0 . Legal Authority

DPM 5 U.S.C. CHAPTER 87Code 5F. Legal Authority 6-E. Code 6-F. Legal AuthorityFROM: Position Title and Number 15. TO: Position Title and NumberASSOCIATE REGIONAL DIRECTOR (EXAM) ASSOCIATE REGIONAL DIRECTOR (EXAM)01300000 ONY1243 01300000 ONY1243; ~ l a n I 9 ~ c ~ ~ o ~ 1 10 . G ~ ~ / L e v e l l ~ ; t e p / R a t e Jl ~ ; o ; l ~ a ; r ~ O f3 . ;;:asis 16;; Plan 1 7 ~ 0 ~ ; ~ d e ~ ; e / L b ~ S t e p R a t e 1 2 ; . ; ; ~ ; ~ w a r d 121 . ; ;

. Basic Pay11 $' L ~ ~ ~ ~ j ~ I ; ; c ~ A ~ . ; ~ i ~ a y 11; . Other Pay 0 20A. Basic Pay 1 2 $ ' L ~ ~ t ~ A ~ j ~ I $ ; ~ ~ ; ~ i ~ a y 12;. Other Pay 0$185606 ~ 1 8 5 6 0 6

. Name and Location of Position's Organizat ion 22. Name and Location of Position's OrganizationSECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSIONDIVISION OF ENFORCEMENT DIVISION OF ENFORCEMENTOFFICE OF REGIONAL DIRECTOR (NYRO) OFFICE OF REGIONAL DIRECTOR (NYRO)OFF OF ASSOC REG DIR (BD EXAMS) #2 OFF OF ASSOC REG DIR (BD EXAMS) #2NEW YORK, NEW YORK NEW YORK, NEW YORK...... .............. ..... ................. ......... ,', . . .... . .... ........... ... ., .............................. .. ............................................................................... ....E 'M 'fii :::"":UE':E:::::N::ii:!o!r,:AO:: :.:.:.:.:.:.:.:.:.;.;.:::::::::.:.:...... ... . ...... ....... .... .:.. :.:.:.:.:.:.:.:.:.:.:.:.:::: :::::: :::::::: "':':::: :::::::::::::::::::::::::::::::;:;:;:;:;:;:;:;:;:;:;:::;:;:::;:::::;:;"';:::;:),::-)) ::::::::::::::::::::::::::::::::::::::::::::::::::::.:::.:.:.............. ...................... ............... .;.:.: ........... .:.:.:.:.:.:.::: ...... .; ~ ! ~ ~ ; ! ; ~ ~ ~ ~ ~ M : t ~ : : : ::.:::::::::::::}}:: ::.::N . ......... ' 2 4 : T ~ ~ ~ ; ~ " ' : " " " " ' " : : : : f d r r ~ ~ ~ : ~ J ~ ~ : { i I l : : ~ ~ ; ; ~ ~ ~ : ~ : ; : ; ~ ; : ~ ~ ~ ~

1 - None 3 - 10 Point/Disability 5 - 10 Point Other . , O None 2 - conditional, , 1b)(6)2 - 5-Point 4 - 10Point c o m ~ l - - - - , _ . : . 6 _ ~ 0 : : : i n : : : . : : l e / . - + - : - 1 = - : - - - - - 1 : - - - = - 1 _ :...:Pe:.:.:rm:::a::.ne::.:n::...t- - - - = 3 : . . . : l d : : . : n : i t : . . . . . . . . J L _ _ _ - L ___ F = = - = = = ~ ~ = d . EEGLI I(b)(6) 28 . Annuitant Indicator 29 . Pay Rate Determinant

)(6) J' - - - - -- --- ---.J (b)(6) ID l. Position Occupied

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

. Agency 0CLS. Remarks

. Employing Department or AgencyE - SECURITIES AND EXCHANGE

Agency Code 48 . Personnel Office 10SEOO 1057

37 . Bargaining Unit Sta

50 . Signature/Authentication and Title of Approving OfficialJEFFREY A RISINGERASSOCIATE EXECUTIVE DIRECTOR100557570y opy

8888



3/28

7/91Supp. 296-33, Subch. 4

Name (Last, First, Middle)

Code 5-B. Nature Of Action790 REALIGNMENT

5-0. Legal AuthorityUNM REALIGNMENTCode 5-F. Legal AuthorityFROM: Position Title and Number

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



6-E. Code 6-F. Legal Authority

15. TO: Position Title and NumberASSOCIATE REGIONAL DIRECTOR (ENF) ASSOCIATE REGIONAL DIRECTOR01800000 ONY1094 01700000 ONY1094

(ENF)

; ~ l a n I 9 . ~ c ; ~ o ~ 1 10 . G ~ ~ / L e v e l 1 ~ ; t e p / R a t e 1 1 ~ ; 0 ; I ~ a ; r ~ 0 113. ; ; : a s i s 16;; Plan 1 7 ~ ~ c ~ ~ d e 1 1 8 . ~ ; d e / L e v e l Step/Rate 1 2 ; . ; ; ~ ; ~ / ~ w a r d 121 . ; ; :1 1 ; . L ~ ; t ; ~ j ~ 1 ~ ; ~ A ~ . ; ~ i ~ a y 11;. Other Pay 0 20A. Basic Pay 1 2 $ ' L ~ ; t ; A ~ j ~ I $ ; C ~ A ~ . ; ~ i ~ a y 1 2 ; . Other Pay$180920 ~ 1 8 0 9 2 0

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 (NYRO) OFFICE OF REGIONAL DIRECTOR (NYRO)OFF OF ASSOC REG DIR (ENF) #1 OFF OF ASSOC REG DIR (ENF) #2NEW YORK, NEW YORK NEW X 9 . ~ I < : , NEW YORK.... . . ................ E f t : f t n i : : : : ~ V . ~ E f t : A : ~ : : I l ... ........................................................................................................., .......... .: ...: ... " ......... ........................... ..... .

Veterans Preference 24. Tenure3 - 1 O-Point/Disability4 - 10-Point Compensable 5 - 1 O-Point Other6 - 10-Point/Compensable/30% 1 0 - None1 - Permanent 2 - Conditional 1---........,3 - Indefinite

28. Annuitant Indicator 29 . Pay Rate Determinan

Position Occupied2 1 - Competitive Service2 - Excepted Service

Duty Station Code

. Agency DCLSRemarks

Employing Department or Agency

3 - SES General4 - SES Career Reserved

o33. Part-Time Hours Per

35. FLSA Category 36 . Appropriation Code 37. Bargaining Unit Sta(b)(6) E - ExemptN - Nonexempt 888839. Duty Station (City - County - State or Overseas Location)

NEW YORK, NEW YORK, NEW YORKRI

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

SEOO 1057 ASSOCIATE EXECUTIVE DIRECTOR101743737y opy



4/28

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

Name (Last. First, Middle)

. ., .......................... ...........................................Code 5-B. Nature Of Action894 GEN ADJ

5-0. Legal Authority

ZLM P.L. 107-123Code 5-F. Legal AuthorityFROM: Position Title and NumberASSOCIATE REGIONAL





15. TO: Position Title and NumberDIRECTOR (BID) ASSOCIATE REGIONAL DIRECTOR

01400000 ONY1092 01400000 ONY1092(BID)

1 1 0 . G ~ ~ / L e v e l l ~ ; t e p / R a t e 1 1 ~ ; 0 ~ I ; a ; r ~ 0 113. ; ; : as i s 16;; Plan 1 7 ~ ~ c ~ ~ d e 1 1 8 . ~ ; d e / L e v e l b ~ S t e p / R a t e 1 2 ~ . ~ 0 ~ a ~ ; ~ / ~ w a r d 121 . ; ; :Basic Pay 1 1 ~ . L ; ~ t ~ A ~ j O 1 ; ; C 2 A ; . ; ~ i ~ a y 11;. Other Pay 0 20A. Basic Pay 12 ; . L ; ~ t ~ A ~ j 6 1 ; ; C ~ A ~ . ; ~ i ~ a y 12 ; . Other Pay 0$192900 ~ 1 9 5 7 9 4

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 (NYRO) OFFICE OF REGIONAL DIRECTOR (NYRO)OFF OF ASSOC REG DIR (BD EXAMS) #1 OFF OF ASSOC REG DIR (BD EXAMS) #1NEW YORK, NEW YORK NEW ~ 9 . ~ ~ , .... ~ ~ ~ .. ~ 9 ~ ~ ...... ...... , .... , . . ., .... '.' . ........................................................... ..................... ................................................ ........... . . .. ... . ..........................

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

Position Occupied1 - Competitive Service 3 - SES General2 - Excepted Service 4 - SES Career ReservedDuty 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 EXCHANGEAgency Code 48. Personnel Office 10

SEOO 1057AUTHORIZING OFFICIAL100063303y opy

o I37. Bargaining Unit Sta

8888



5/28

. 7/91

. Office of Personnel ManagementSupp. 296-33, Subch. 4


Code 5-B. Nature Of Action880 CHG IN TBNURB. Code 5-0. Legal Authority

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


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



15. TO: Position Title and NumberDBPUTY CHIBF ACCOUNTANT DBPUTY CHIBF ACCOUNTANT(ACCOUNTING GROUP) (ACCOUNTING GROUP)24100000 OCA0123 24100000 OCA0123; ~ 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 ~ 0 113 . ; ; : as i s 16;; Plan 170o ~ c ~ C ~ d e r'~ r ; e / L e v e l Step/Rate 1 2 ; . ~ ; a ~ ; ~ / ~ w a r d 121 . ; ; :

Basic Pay1 1 $ ' L ~ ~ t ~ ~ j ~ 1 $ ; ~ A ~ . ; ~ i ~ a y 11$' Other Pay 20A. Basic Pay 12;. L ~ ~ t ~ ~ j ~ 1 ; ; ~ A ~ . ; ~ i ~ a y 1 2 ~ . Other Pay$185719 0 ~ 1 8 5 7 1 9

. Name and Location of Position's Organization 22 . Name and Location of Position's OrganizationSBCURITIBS AND BXCHANGB COMMISSION SBCURITIBS AND BXCHANGB COMMISSIONOFFICB OF CHIBF ACCOUNTANT OFFICB OF CHIBF ACCOUNTANTOFC OF DBP CHIBF ACCT (ACTNG) OFC OF DBP CHIBF ACCT (ACTNG)

~ ~ ~ ~ .! . ~ ~ ~ 9 . ~ , ' p ' g .. ... ................. ..................... ....... .... .',', ,.,... .. ... ..... . ........ ........ ......... ..... . ....~ ~ ~ ~ ~ J : ' ! < 3 , ~ < ? J : ' ! . , J : : ) g .... . .. ................. .....26 . Veterans Preference f~ ( 6 )

. FEGLI l(b)(6) 28 . Annuitant Indicator 29 . Pay Rate Determinant. j(b)(6) o IPosition Occupied

1 - Competitive Service 3 - SES General2 - Excepted Service 4 - SES Career Reserved. Duty Station Code11-0010-001. Agencv 0CLS. Remarks


33. Part-Time Hours Per

35 . FLSA Category 36. Appropriation Code 37. Bargaining Unit Sta(b)(6) E - ExemptN - Nonexempt 888839. Duty Station (City - County - State or Overseas Location)WASHINGTON,DISTRICT OF COLUMBIA

50. Signature/Authentication and Title of Approving Official- SBCURITIBS AND BXCHANGB JBFFRBY A RISINGBRAgency Code 48. Personnel Office 10

SBOO ' 1057ASSOCIATB BXBCUTIVB DIRBCTOR101691771y opy



6/28

Form 50-B_7/91. Office of Personnel Management

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

NOTIFICATION OF PERSONNEL ACTION2. Soci al Security Number 3. Date of Birth

l(b)(6) I I b)(6) J .! i " ! ... . ..!i"!:::::: I,:13A....RN :I . :Jili:'::' ::'::' ::,:::,:::,:,:::::::::::,:::::!:::,:::,:::::::::::r:::,:::::::'::::::::: . . . . H :::.... X X X ~ U D ~ ~ I ~ ~ . ...........:... ................ , , ~ , , ~ . ~ ~ ~ ~9., :Y.' :::::: ::=::=:: ::::::::::::::.? )'\ :::::::: : ) : ) ) / m / s . E e ~ N : . : ' . : M ~ ( : : : : : ) : : : : : : : : : : : i ( ( : { "5-B . Nature Of Action 6-A . Code 6-B. Nature of Action

890 MISC PAY ADJ. Code 5-0. Legal Authority 6-C Code 6-0. Legal Authority

ZLM 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 NumberCHIEF ACCOUNTANT DEPUTY CHIEF ACCOUNTANTDEPUTY CHIEF ACCOUNTANT, PPG DEPUTY CHIEF ACCOUNTANT, PPG24200000 OCA0122 24200000 OCA0122; ~ l a n I 9 ~ c ~ ~ o ~ /10. G ~ ~ L e v e l l ~ ; t e p / R a t e 1 1 $ ; 0 ~ I ; a ~ r ~ 0 113. ; ; : a s i s 1 6 ; ~ Plan 170~ c ~ ~ d e 118 . ~ r ; d e / L e v e l b Step/Rate I ~ . ~ ; ~ ; a ~ / ~ w r' ; :

1 1 ; . L ~ ~ t ; ~ j o ; ~ A ; ; ~ i ~ a y 1 1 ; . Other Pay 20A. Basic Pay 12 ; . L ~ ~ t ~ ~ j ~ I ; ; c ; ; . ; ~ i ~ a y 1 2 ~ . Other Pay$173080 0 ~ 1 8 3 4 6 5 0. Name and Location of Position's Organization 22 . Nameand Location of posiiion's OrganizationSECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSIONOFFICE OF CHIEF ACCOUNTANT OFFICE OF CHIEF ACCOUNTANTOFC OF DEP CHIEF ACCT (PROF PRAC) OFC OF DEP CHIEF ACCT (PROF PRAC)

WASHINGTON,DC~ ~ ~ ~ ~ ~ < 3 . r : r : q ~ , p g ......... ...... , .. ' ................... " .. ................................................................ ,.,'.' ... ................. ................................ . . ............................... Veterans Preferencen ~ ~ ; ; n t

FEGLI (b)(6)3 - 1 D-Point/Disability4 - 1 D-Point Compensable

II

Position Oc cup ied1 - Competitive Service 3 - SES General2 - Excepted Service 4 - SES Career Reserved

Duty Station Code11-0010-001. Agency DCLSRemarks


24. Tenure5 - 1 D-Point Other6 - 10-Po int/Compensable/30% 1J 28. Annuitant Indicator(b)(6) 29 . Pay Rat e Determinanto I

35. FLSA Category 36. Appropriation Code 37. Bargaining Unit StaI(b) (6 E - ExemptN - Nonexempt 888839. Duty Station (City - County - State or Overseas Location)WASHINGTON,DISTRICT OF COLUMBIA

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




7/28

Form 50-B7/91

S. Office of Personnel ManagementSupp. 296 -33, Subch. 4

Name (Last, First, Middle)NOTIFICATION OF PERSONNEL ACTION

2. Social Security Number 3. Date of Birth

~ I R H A R D R: : : : : : ; k ~ ~ I ~ ! } : j ; : : : : : : - ~ : - : - : .... ....... .:.:::::.:::.:.:.:... ::::: ;:;:;:;::::::::: . . ': .. : :.:;. ' :.:..; ; : : .:: ;::; . ; : . ; : . ; ; . ; : . ; : . ; : . ; : . ; : . ; : . ; :a xx : . .;:en.. .n. XX. A . s:; . ..b'Ii;). 6.;.n.).;.r. . . : :ii i....: ; ; .:.::; : ~ ? ( ~ ) n ..; . J : ; ; : ; : ~ ~ i i i i ( , :U .. . ::::::>:;:::::::: ........... .. .:.:.: .. .;.;.; . .;.;.;.;.;.;.): >}::;: .. .p . ~ Code 5-B. Nature Of Action 6-A. Code 6-B. Nature of Action

89 4 GEN ADJ5-0. Legal Authority 6-C Code 6-0 . Legal Authori\y

ZLM P.L. 107-123Code 5-F. Legal Authority 6-E. Code 6-F. Legal AuthorityFROM: Position Title and Number 15. TO: Position Title and Number

DEPUTY CHIEF ACCOUNTANT (INT'L) DEPUTY CHIEF ACCOUNTANT24300000 OCA0131 24300000 OCA0131

(INT'L)

; ~ l a n I 9 . ~ c ; ~ o ~ 110. G ~ ~ / L e v e l l ;tep/Rate 1 1 ~ ; 0 ; I ; a ; r ~ 0 113. ; ; : as i s 1 6 ; ~ Plan 1 7 ~ ~ c i ~ d e 1 1 8 . ~ ; e / L e v e l Step/Rate 1 2 ; . ; 0 ~ a ~ ; a ~ / ~ w a r d 121. ; ; :. Basic Pay

11 ; . L ~ ~ t ~ ~ j ~ 1 ; ; ~ A ; ; ~ i ~ a y 11 ; . Other Pay 20A. 8asic Pay 12;. L ~ ~ t ; A ~ j ~ 1 ; ; ~ A ~ ; ~ i ~ a y 12;. Other Pay$184647 0 ~ 1 8 7 4 1 7 Name and Location of Position's Organization 22. Name and Location of Position's Organization

SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSIONOFFICE OF CHIEF ACCOUNTANT OFFICE OF CHIEF ACCOUNTANTOFC OF DEP CHIEF ACCT (INTL) OFC OF DEP CHIEF ACCT (INTL)

~ ~ ~ ~ .. ! . ~ ~ ~ < ? ~ , . J : : ) q .............. ................. ........... , .. , .............. ........ . . . . . . . . . . . . . . . ~ ~ ~ . ~ . ~ ~ ' l : ' < ? ~ , . J : : ) q . . ...................................................................24 . Tenure

~ : ~ ~ ' : : i n t 3 - 1O-Point/Disability4 - 1O-Po int Compensable 5 - 1O-Point Other6 - 10-Point/Compensable/30% 1 I 0 - None1 - Permanent( b ) ( 6 ) I 28. Annuitant Ind icator 29 . Pay Rate Determinant(b)(6) 101

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

Duty Station Code11-0010-001. Agency DCLS

. Remarks'

35 . FLSA Category 36 . Appropriation Codei~ ~ ~ , E - ExemptN - Nonexempt39. Duty Station (City - County - Stat e or Overseas Location)

WASHINGTON,DISTRICT OF COLUMBIA

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

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

SEOO 1057 AUTHORIZING OFFICIAL100081246y opy

37 . Bargaining Unit Sta8888



8/28

_7/91Supp. 296-33, Subch. 4

, First, Middle)

Code 5-B . Nature Of Action002 CORRECTION

Code 5-0_ Legal Authority

Code 5-F. Legal Authority

FROM: Position Title and NumberCHIEF ACCOUNTANT24000000 OCA0087

NOTIFICATION OF PERSONNEL ACTION3. Date of Birth

6-A. Code 6-B. Nature of Action880 CHG IN TENURE GROUP


KMM REG 315.2026-E . Code 6-F. Legal Authority15 . TO: Position Title and NumberCHIEF ACCOUNTANT24000000 OCA0087

~ c ~ ~ O ~ 1 1 0 . G ~ ~ / L e v e l l ~ o S t e p / R a t e 1 1 ~ ; o ; l ~ a ; r ~ 0 113. ; ; : a s i s 1 6 ; ~ P l a n 1 7 0 0 ~ c ~ ~ d e 1 1 8 . ~ r ; d e / L e v e l b ~ S t e p / R a t e 1 2 ; . ; o ; I ; ; ~ / ~ w a r d 121 . ; ; :

1 1 ; . L ; ~ t : ; ~ j ~ 1 ; ; 3 A ~ ; ~ i ~ a y 11$' Other Pay 20A. Basic Pay r ~ ' L ; ~ t ; ~ j ~ 1;;C3 A ~ . ; ~ i ~ a y Other Pay$192988 0 ~ 1 9 2 9 8 8 0. Name and Location of Position's Organization 22 . Name and Location of Position's OrganizationSECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSIONOFFICE OF CHIEF ACCOUNTANT OFFICE OF CHIEF ACCOUNTANT

ASHINGTON,DC..... .. .......... ~ ~ . ~ ! . ~ ~ ' J : ' < ? ~ ' J ? ~ .................... .................................... ........... ,'.' ............... . ............................. ..................

Veterans Preference] i: ~ ~ n o ' i n t 3 - 10-Point/Disabillty4 - 10-Point Compensable. FEGLI I(b)(6)

Jl l I ?A Aoouit::u:\tJndic.atn,,-- _ _ _(b)(6) o I. Position Occupied 35. FLSA Category 36. Appropriation Code 37 . Bargaining Unit Sta

1 Competitive Service 3 - SES General i(b)(6fI E - Exempt 8 8 8 8___2 _ . _ E _ x c _ e ~ P t _ e d _ S _ e _ N _ i c _ e ___ _-_S_E_S_C_ar_ee_r_R_es_er_ve_d_ _ I ' - " - ' . ~ N ~ - _ N ~ o n ~ e x _ e _ m ~ ~ __ __ ________________________________ ______________Duty Station Code 39 . Duty Station (City - County - State or Overseas Location)11-0010- 001. Agency DLSRemarks

Employing Department or Agency- SECURITIES AND EXCHANGE



50. Signature/Authentication and Title of Approving OfficialJEFFREY A RISINGERASSOCIATE EXECUTIVE DIRECTOR110577162y opy



9/28

50 -B_7/91

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

Name (last, First, Middle) 2. Social Security Number 3. Date oi Birthl(b)(6) I l(b)(6)

j i l 1 ? i i i ' ~ i i : r ~ ~ ~ ~ } } : ~ : ) : : : : : : : : ~ ~ i ~ ~ : ~ ' : : : : : : : : : : : : : : : : : : ; : : : : : : ~ : ~ i : : ~ : : : : : : : : ~ ; . y : ~ : : ~ : o . i o . J 1 I c . : ; n : d N : > ~ : : : : : : : : : : : : : : : : : . . ~ ) ) ~ ~ %5-B. Nature Of Action 6-A. Code 6-B. Nature of Action

890 MISC PAY ADJ5-0 . legal Authority

ZLM P.L. 107-123E. Code 5-F. legal AuthorityFROM: Position Title and NumberCHIEF COUNSEL, OCA24001000 OCA0212

Name and location of Position's OrganizationSECURITIES AND EXCHANGE COMMISSIONOFFICE OF CHIEF ACCOUNTANTOFC OF RULEMAKING & CHIEF COUNSEL

6-C Code 6-0. legal Authority

6-E . Code 6-F. legal Authority

15. TO: Position Title and NumberCHIEF COUNSEL, OCA24001000 OCA0212

22. Name and location of Position's OrganizationSECURITIES AND EXCHANGE COMMISSIONOFFICE OF CHIEF ACCOUNTANTOFC OF RULEMAKING & CHIEF COUNSEL

~ ~ ~ ~ r . ~ < 3 . ' J : ' 9 . ~ ' J ? ~ .......... ............. .. w : A S H I ~ ~ ? ; g ~ . ~ . g . S ; . . . . . . . . . . . . . . . ..........S..:..M.. ....."...: i. .: : . ~ ."':.. .:u..:::E..:.: . ~ E .:. : . ~ . ~ . ~ t . ! I i i .. . : :A. : : . . : . ~ . : ..... A.:. : : . ~ . : : : ~ . : . ~ : ~ : ~ : ~ : ~ : ~ . : : ~ : ~ . ~ : ~ . ~ . ~ ~ . ~ . ~ : ~ ".:.' ~ : ~ : ) ~ ( ( ( : . : ~ . ~ : . ~ : . : : . ~ : . ~ ~ . ~ ~ :::::::.:.: .:::.:.::::::: .:::::::.:.:.:.:.:.:.:.:.:.:.::::: ' \ ' : : : : : : : : ' : ' : ' " : . :.:................ .. .. : : : . : : ) ) ) ) ) ) ) ) ) ) ) ) ) ) ) . ~ . : ~ . : .........~ . ~ . ~ r . ~ w UK::I::M ::::::::::::::::::::::::::::::::::::?::::: ................................. ::::::::::::::::: ::::::::::::::::::::::::;:::;:::::::::;:::::::::::::::::::::::::::::::::.:-:........ . ................;.;.:.:.:.:.:.;.;::::::::::::::::::::::::::::::;:::::::::::::::::::::.:.:........ . ................... ..............................................................Veterans Preference ~ 4 . Tenure 26. Veterans Preference f

. Position Oc cupied

3 - 10-Point/Disability. O.o nLC_O.ID.O_ensable

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

. Agency DCLS_Remarks

Employing Department or AgencySE - SECURITIES

Agency Code 48. Personnel Office 10SEOO 1057

5 - 1O-Point Other6 - 10-Point/Compensable/300/0 1 0 - None 2 - Conditional 'l(b)(6)- Permanent 3 - Indefinite _28. Annuitant Indicator

~ ) ( 6 )

36 . Appropriation Code

29 . Pay Rate Determinano

33 . Part-Time Hours PerBiweekly.. P ~ y P e r i ( ) d ..

37. Bargaining Unit Sta8888

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




10/28

B. 7/91

S. Office of Personnel ManagementSupp. 296-33, Subch. 4



~ I H A M R ~ ~ ~ J : 1 ~ " ~ : : : : : : : : f L : : : : :::::::,,:::,,::::::::,::::,::::,:::.::::.:::::,::::,:::.:::::' : . . . . . . . . . : : : : : :.:. . : :.:.:.:.:.:. :.:.:.:.:.:.:.:.:.:.:.:.:.:::.:.:.:.:.:. : : axx. .e n..: : : : : : - . ~ . : : . : . : X X f . " ..)""(.:.. ) T' " -::n..:.- - '..fi':..:::::::::,: :: e:(6)::. : : t : : : : : : : : : : : w . : . ~ : : : : : : : : : : : : : : : : : : : : : : } :::::::::::::::::::::::::::::::::}}::::::::::::::::::::::::::::::::: ~ " " ' ~ ~ H I _ ~ : : : I : : w.':!f :::::::::::::::::::::::::::::::::::::::::::::::::: :::::-:-:-:.: ........Code 5-B. Nature Of Action 6-A. Code 6-B. Nature of Action

002 CORRECTION5-0 . Legal Authority

E. Code 5-F . Legal Authority

FROM: Position Title and NumberDEPUTY DIRECTOR50000000 OCI0251

and Location of Position's Organization

890 MISC PAY ADJ6-C Code 6-0. Legal AuthorityZLM P.L. 107-1236-E . Code 6-F . Legal Authority

15. TO: Position Title and NumberDEPUTY DIRECTOR50000000 OCI0251

22 . Name and Location of Pos ition's OrganizationSECURITIES AND EXCHANGE COMMISSIONOFFICE OF COMPLIANCE INSPECTIONS & EX SECURITIES AND EXCHANGE COMMISSIONOFFICE OF COMPLIANCE INSPECTIONS & EX

26. Veterans Preference f_ - - ' . . . . . . . , . . " . . . : : 1 7 : . ~ N . . : . o . . : : . n e : : . . : . : . . . _ - - - ' 3 ' - .:.1..::.0..:..p..:.;oi..:.nt..:./D:..:is;..:.;ab!:,;il..:.ity=:.::----=.5_ ..:..10r-.:....:po"'in:.::t..::.0..:.;th"'er=:=:.:::..::..::..:..:..._f-_-.J---'0_ :...N::.on;..:.;e=:.:.::.---=2_::.C=n::.d",iti on : a . J 1~ = = = = = ___+ -b_)_6_)__ __ _- 1OPoint Compensable 6 10Point/Compensable/30% 1 Permanent 3 Indefinite . . _I 28 . Annuitant Indicator 29 . Pay Rate DeterminanPos ition Occupied

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

36-4170-061. Agencv 0CLS

Remarks


(b)(6)33 . PartTime Hours PerBiweekly

35 . FLSA Category 36. Appropriation Code 37 . Bargaining Un it StaE ExemptN Nonexempt 8888

39 . Duty Station (City County State.or Overseas Location)NEW YORK, NEW YORK, NEW YORK

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




11/28

7/91Office of Personnel ManagementSupp_ 296-33, Subch_ 4 NOTIFICATION OF PERSONNEL ACTION

Name (Last, First, Middle) 3_ Date of Birth_ Social Security c C " , " __ ----,~ i : I N 1 M ~ i : : : : : ~ : : 0 : ~ ] : : f ~ : : : : : : : : : n : : : : : : : : : .... : ~ : : i i o . i o m I Q N ; : ; :cc::::::

, , l I t a t u L e Ac_LQn(b)(6)I81Code 5-0 _ Legal Authority

DPM 5 U.S.C. CHAPTER 875-F _ Legal AuthorityFROM: Position Title and NumberDIRECTOR, OFF OF COMPL INSP & EXAMS50000000 OCI0001

Name and Location of Position's OrganizationSECURITIES AND EXCHANGE COMMISSIONOFFICE OF COMPLIANCE INSPECTIONS & EX



6-E_ Code 6-F _ Legal Authority

15. TO: Position Title and NumberDIRECTOR, OFF OF COMPL INSP & EXAMS50000000 OCI0001

22 . Name and Location of Position's OrganizationSECURITIES AND EXCHANGE COMMISSIONOFFICE OF COMPLIANCE INSPECTIONS & EX

26_ Veterans Preference f(b)(6)(b)(6) I 28 . Annuitant Indicator-n"-----------------' '(b)(6) I 29 . Pay Rate DeterminantIO l

Position Occupied2 1 - Competitive Service 3 - SES General2 - Excepted Service 4 - SES Career Reserved

Duty Station Code

. Agency 0CLS

Remarks


35_ FLSA Category

- SECURITIES AND EXCHANGEAgency Code 48 . Personnel Office 10

SEOO 1057

36_ Appropriation Code 37 _ Bargaining Unit Sta


8888



12/28

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

(Last, First, Middle) 3. Date of Birth

6-B . Nature Of Action 6-A. Code 6-B. Nature of Action02 R E T I R E M E N T - V O L U N T A R YCode 5-0. Legal Authority 6-C Code 6-0. Legal AuthorityQ M 5 U.S.C. 8336Code 5-F. Legal Authority 6-E . Code 6-F. Legal Authority

Position Title and Number 15 . TO: Position Title and NumberD I R E C T O R {IA/IC E X A M I N A T I O N S }

O C I O O 0 5PlanI . Occ . Code 1.10. GradelLevel 111. Step/Rate \12. Total Salary

O 1160 02 00 $230700\13. ; ; : a s i s 16.Pay Plan 17. Occ. Code rs, GradelLevel 119. Step/Rate 120"'Total Salary/Award 121. Pay

Basic Pay 1 1 $ . L ; ; ~ ~ j 9 1$ ; C ~ A ~ . ; ~ i ~ a y 1 1 ~ . Other Pay 20A. Basic Pay 120B. Locality Adj . 1.20C. Adj. Basic Pay 1200. Other Pay0and Location of Position's Organization 22. Name and Location of Position's Organization

AND E X C H A N G E C O M M I S S I O NO F C O M P L I A N C E I N S P E C T I O N S & E XO F IA/IC E X A M I N A T I O N S

.... ....................... .......... ......... ..... ............................................ ..... ........... ........ .. ..... .......... ............................................... .................... ............. .. ....... ............................... .................. ..! ~ < 3 . ~ 9 . ~ . t . . . ! ? ~ ....................................... ..' ................... .... . ..........................................m ~ r r r r r ~ ~ t j j t r j ~ t m ~ ~ j { r r m m m r f r f r ~ ~ ~ : : ~ f : ; : ~ : : : : : ~ ~ { r ... t ~ ; : : : ; j ~ j ~ ( \ ) j f ~ : : ~ ~ ; ~ j ; ~ ? ~ ~ r r ~ t : : : : : : i ; t ~ i ; ; ; : ; ; ; ; ~ ; ~ ~ ~ ~ ~ ~ / / / ~ \ j ~ \ j ; : ) ~ ~ ~ j t ~ ~ f t ~ / i I I f \ : ~ r ( : : : ..: : : : : : ~ i i r f r ..: ~ ~ } ~ : : : 24. Tenure 26. Veterans Preference fo(b)(6)- 10-Point Other 0 - None 2 - Conditional 1--- .E ' n ; n t l C n m n e n s ~ b : . : : : l e / : . . : : 3 . : : . 0 . : . ; : % _ + . , . , 1 __ -1'--..;,p:.:::e..:.rm.:.;:a:;,.;ne.:.;n..:.t_.::.3_-..:.ln:.:::de.:.;f..:.in:.:::ite-- -__ -__ '-r--::-:-,----c:_--::--___

28. Annuitant Indicator 29. Pay Rate Determ inanti(b)(6) I

U L L - T I M E

o33. Part-Time Hours PerBiweekly

Occupied 36. Appropriation Code 37 . Bargaining Unit Statu1 - Competitive Service 3 - SES General2 - Excepted Service 4 - SES Career ReservedStation Code

AgencyDL S

Department or AgencyE - S E C U R I T I E S

Code 4S. Personnel Office 10S E O O 1057

60 . Signature/Authentication and Title of Approving OfficialJ E F F R E Y A RIp I N G E RA S S O C I A T E E X E C U T IV E D I R E C T O R110586424y opy

8888



13/28

50-B_7/91

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


Code 5-B. Nature Of Action170 EXC APPT

Code 5-0 . Legal AuthorityWDM SCH A 213.3102(D). Code 5-F. Legal AuthorityFROM: Position Title and Number

Pay Planl9. Occ. Code 110. Grade/Level 111. Step/Rate 112. Total Salary 113. Pay Basis

Basic Pay J 12B. Locality Adj. 112C. Adj. Basic Pay 1120. Other Pay

Name and Location of Position's Organization

.... . "', .... .... "., ... ..Veterans Preference

1 - None2 - 5-Point

"", . ...................... .................

3 - 10-Point/Disability4 - 10-Poin t CompensableFEGLI [0)(6), ---------Position Occupied

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

-

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

35. FLSA Category(b)(6) E - ExemptN - Nonexempt





15. TO: Position Title and NumberSUPERVISORY ATTORNEY-ADVISORASSOCIATE DIRECTOR (BD EXAMINATIONS)50100000 OCI02561 ~ ~ Plan 1 7 0 ~ c O ~ d e 1 1 8 . ~ r ~ d e / L e v e l Step/Rate 1 2 ; . ; 0 ; ~ ; ~ / ~ w a r d 121. ; ; :20A. Basic Pay r;' L ~ ~ t ; ~ j 3 J; ;C3A ~ . ; ~ i ~ a y 1 2 ; . Other Pay~ 1 7 6 4 5 7 022. Name and Location of Position's Organization

SECURITIES AND EXCHANGE COMMISSIONOFFICE OF COMPLIANCE INSPECTIONS & EXOFFICE OF BD/SRO EXAMINATIONS

.. ~ l : \ ~ ~ ~ ~ ~ ~ < ? ~ . , . p . g ..24. Tenure2 : ~ ~ ; ; : ; a n e n t

_?8__Aoouitaot-'.odicatocr _ ___(b)(6) 29 . Pay Rate Determinanto

36. Appropriation Code 37 . Bargaining Unit Sta8888

Duty Station Code 39. Duty Station (City - County - State or Overseas Location)36-4170-061. Agency DLS

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

SEOO 1057

NEW YORK,NEW YORK,NEW YORK




14/28

Form 5087/91

of Personnel ManagementSupp. 29633, Subch. 4

Name (last, First, Middle)NOTIFICATION OF PERSONNEL ACTION

2. Social Security Number 3. Date of Birthl(b)(6) I ~ b ) ( 6 ) I

; t r s : ~ * e T j i i : : ~ ~ ~ ~ : : : ~ : ~ ~ : ~ ~ ~ ~ ~ : ~ ~ ~ ~ : ~ ~ : : : ~ ~ ~ ~ ~ : : : : : ~ ~ / : : f ~ f : : : : : : : : : : : : ) ~ } t ~ ~ / : : : : : : : : : : : : : : : : : : : : : f ~ : ~ Q i t . l : : ; ; g l m I Q N p : m ~ S r : : : : : : ~ : : : ; ; ~ : : : : : ~ : : : : : : : : : ~ } ~ : : : : : : ) ~ : : ~ ) ( Code 5B. Nature Of Action 6A. Code 6-B. Nature of Action

894 GEN ADJSD . legal Authority 6C Code 60. legal Authority

ZLM P.L. 107-123. Code SF . legal Authority 6E . Code 6-F. legal AuthorityFROM: Position Title and Number 15. TO: Position Title and NumberASSOCIATE DIRECTOR (CHIEF COUNSEL) ASSOCIATE DIRECTOR (CHIEF COUNSEL)50200000 OCI0111 50200000 OCI0111

. Name and location of Position's Organization 22. Name and location of Position's OrganizationSECURITIES AND EXCHANGE COMMISSIONOFFICE OF COMPLIANCE INSPECTIONS & EXOFFICE OF CHIEF COUNSEL

SECURITIES AND EXCHANGE COMMISSIONOFFICE OF COMPLIANCE INSPECTIONS & EXOFFICE OF CHIEF COUNSEL

~ ~ ~ ~ . ~ N . : ( 3 T C : > ~ ! . p . ~ . ......... .................. ........... .............. ............ ........... ....~ ~ ~ I I ! . ~ ~ ~ g ~ . t . g S ; . . . . . . . . . . ....e J . Y I R L a & E / D l m . i / / / / m r r ~ ~ : ? ~ : ~ ~ ~ : / ~ / ~ : : ~ : ~ : } : : ~ : ( .::::::::;:;:;:: ..;:):.)))):::::\:::::::::.::::::::: ~ : } } ~ : } } ( \ ( : : : : : : : ... . . : : < : : ; : ; : : : : : : ) : r : : : : ( ~ r : ~ } : : : : : ~ ( ( : / : ~

Veterans Preference 24 . Tenure 25 . Agency Use 26 . Veterans Preference f.. 1 . : . .' E . N " , ~ , " - ' t _ _ i t / - = i s " , - t 5 -10Point Other r--:;----,1 0 - None 2 - Conditional I I l(b)(6)4 - 10-Point Compensable 6 - 10-Point/Compensab)e/30% I J. I 1 - Permanent 3 -Indefinite

. FEGll ~ ) ( 6 ) J 28 . Annuitant Indicator 29. Pay Rate Determinantl - -- --- (b)(6) IDlPosition Occupied2 1 Competitive Service2 Excepted Service

Duty Station Code11-0010-001. Agency DCLSRemarks

3 - SES General4 - SES Career Reserved35. FlSA Category

I/b"6 E - ExemptN - Nonexempt36. Appropriation Code

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


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

SEOO 1057AUTHORIZING OFFICIAL100073126y opy

37. Bargaining Uni t Sta8888



15/28

Form 50-B. 7/91Office of Personnel ManagementSupp. 296-33. Subch. 4

Name (Last. First. Middle)

. ... ... ........ ... ..... ....... .. ... ............................................5-B. Nature Of Action002 CORRECTION

5-0. Legal Authority

Code 5-F . Legal Authority

.... ................ . . ........ ..

FROM: Position Title and NumberEXECUTIVE DIRECTOR26000000 OED0667

NOTIFICATION OF PERSONNEL ACTION

6-A. Code 6-B. Nature of Action894 GEN ADJ

6-C Code 6-0 . Legal AuthorityZLM P.L. 107-1236-E. Code 6-F. Legal Authority15 . TO: Position Title and NumberEXECUTIVE DIRECTOR26000000 OED0667

~ c ; ~ 0 ; 1 1 0 . G ~ ~ / L e v e l l ~ ; t e p / R a t e 1 1 $ ; 0 ; I ; a ; r ~ 0 113. ; ; : a s i s 1 6 ; ~ Plan 170~ c O ~ d e 118 . ~ ; d e / L e v e l Step/Rate 1 2 ; . ; 0 ; a ~ ; a ~ / ~ w a r d 121. ; ; :Basic Pay 1 1 ~ . L ; ~ t ~ ~ j ~ I ~ ; C ~ A ; . ; ~ i ~ a y 11 ; . Other Pay 20A. Basic Pay r;' L ; ~ t ; ~ j ~ 1 ; ; C 3 A ~ . ; ~ i ~ a y 12 ; . Other Pay$190136 0 $192988 0

Name and Location of Position's Organization 22 . Name and Location of Position's OrganizationSECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSIONOFFICE OF THE EXECUTIVE DIRECTOR OFFICE OF THE EXECUTIVE DIRECTOR

~ ~ ~ ~ ~ ~ < 3 , ? ; 9 . ~ . ~ . J : : ) q ... . . ........ ..",."", ................. ~ ~ ~ : g ~ < 3 , ' J : ' 9 . ~ / J : : ) q ...: .. F : : ~ W : : : f : : ~ ~ : ~ : : : : g M : : : I : : : M : : : : ~ : : ~ : : : : : : : : : : : : : : ~ : : ~ : : : : : ~ : : : : : : : : : : : : : : : : : : : : : : : : : : : ; : r ~ :::::::::::::::::::::::: ::::::::: :':':':':':':':':-:-:-:"':-:':':':"';':':-:':':':':-::;':::-::::: .;.:-:::::::::::.:::::::::::::::::::::::::::::.:.:. ::::::::::::::::::::::::::::::::;::::::: . . ........ , .. ,.........Veterans Preference 24. Tenure 25. Agency u s e ( i r : V ~ ; ~ ; ~ ~ ~ ~ ; ~ ; ~ : ; ~ ~ ~ ~f t t : :

: j \ :v. i : : :!i:::::t.!Iii::R::!!!r.,:A:,::::::::::::::::::::::::::::::::::::::::::: ::::::::::::::::::::::: ..:.:.::. ;:::::.:::.:::::.:.::,: . ,:",,:,:;,,:::::::::::,:;,:"", ,:,:,:,:,::.:.:,....... ",:,::,:" :::::::::,....... :.;.;.;.:.;.:::.:.:.;::.;.:::::.:.:.:: : . . ::.:::.:::.:::.::::.:h::.:::.:::: : . :.: .:.:.:.:.: . : , ; : : : : , ; : : : : : : :" , : : : : : : : . : "

1 - None 3 - 10-Point/Disability 5 - 10-Point Other I 0 - None 2 - Conditional i(b)(6)I 2 - 5-Polnt 4 -10-P oint Compensable 6 -1 0-Point/Compensable/30% 1 1 - Permanent 3 -Indefinite29. Pay Rate Determinanto I. FEGLI l(b)(6) I 28 . Annuitant Indicator. (b)(6)

. Retirement Plan I 31. Service Camp. Date ""-eave) 32. Work Schedule 33 . Part-Time Hours PerJ ' ) l a N ] I s . J ' ) l . n n r : r : r r : m I : ' : : : , . : f I ~ ~ ; ; ) / ( / / c c , / , : , : : r r ) . : ~ ~ . ~ ~ . ~ . : ; : ; ; ; ; ; ~ . . . .... ::.:.:.::: ...:.... :.... .: .......)... r ~ ~ f ; ; ! ; ~ .

1 - Competitive Service 3 - SES General2 - Excepted Service 4 - SES Career ReservedDuty Station Code11-0010-001. Agency D

CLS. Remarks(b)(6)


35. FLSA Category 36. Appropriation Code 37. Bargaining Unit Sta(b)(6) I E- ExemptN - Nonexempt 888839. Duty Station (City - County - State or Overseas Location)

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

SEOO 1057ASSOCIATE EXECUTIVE DIRECTOR110648325y opy



16/28

Form 50-B. 7/91. Office of Personnel Management


Code 5-B. Nature Of Action894 GEN ADJ. Code 5-D . Legal Authority

ZLM P.L. 107-123Code 5-F. Legal AuthorityFROM: Position Title and NumberSENIOR ADVISOR26000000 OED0305

NOTIFICATION OF PERSONNEL ACTION

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

6-C Cod e 6-D. Legal Authority


15. TO: Position Title and NumberSENIOR ADVISOR26000000 OED0305

; ~ l a n I 9 . ~ c ; ~ o ~ 110. G ~ ~ / L e v e l l ~ ~ S t e p / R a t e 1 1 ~ ; 0 ~ I ; a ; r ~ 0 113. ; ; : as i s 1 6 ~ ~ P l a n 1 7 b ~ c b ~ d e 1 1 8 . ~ r ; e / L e v e l ~ ~ S t e p / R a t e 1 2 ; . ~ ; ~ ; ~ / ~ w a r d 121 .;;. Basic Pay

11 ; . L ; ; t ~ A ~ j ~ I ; ; C ~ A ; ; ~ i ~ a y 11 ; . Other Pay 20A. Basic Pay 12;. L ; ; t ~ A ; j ~ 1 $ ; C 3 A ~ . ; ~ i ~ a y 12 ; . Other Pay$188198 0 ~ 1 9 1 0 2 1 Name and Location of Position's Organization 22. Name and Location of Position's OrganizationSECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSIONOFFICE OF THE EXECUTIVE DIRECTOR OFFICE OF THE EXECUTIVE DIRECTOR

WASHINGTON,DC WASHINGTON,DC.................... ................................ ', ...................... ................................................................... . ................ ...... . .......................... .............................................................. .....'.....

Veterans Preferenceii 1 -2 - 5-Pomt 3 - 10-Point/Disability4 - 10-Point Compensable 5 - 10-Point Other6 - 10-Point/Compensable/300/0FEGLI (b)(6)

I28 . Annuitant Indicator 29. Pay Rate Determinan


Duty Station Code11-0010-001, Agency DCLSRemarks

(b)(6) I

35. FLSA Category 36. Appropriation Code[thl t ' " E - ExemptN- Nonexempt39 . Duty Station (City - County - State or Overseas Location)WASHINGTON,DISTRICT OF COLUMBIA


. Employing Department or Agency 50. Signature/Authentication and Title of Approving OfficialSE - SECURITIES AND EXCHANGEAgency Code 48 . Personnel Off ice ID

SEOO i057 AUTHORIZING OFFICIAL100083303y opy

o I

37. Barg ain ing Unit Sta8888



17/28

ard Form 50 B7/91

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

(Last, First, Middle)

17 RESIGNATIONSD . Legal Authority

REG 715.202Code 5F. Lega l Authority

FROM: Position Title and NumberCOUNSEL

OGC0189

Name and Location of Position's OrganizationAND EXCHANGE COMMISSION

OF GENERAL COUNSEL

2. Social Security Number 3. Date of Binh

6C Code 60. Legal Authority

6E. Code 6F. Legal Author ity

15. TO: Position Title and Number

22 . Name and Location of Position's Organization

...' ..,.n. p,.on. / . 1 . Service Compo Date (Leave) 32. WorkSchedule 33 . PanTime Hou rs Per:;:UJ]Q.,)QAT8.::/?mmmIrl:::::::::::::::::::}:...: . W @ .:{


18/28

. 7/91. Office of Personnel Management

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

J (b)(6) I i(b)(6)... I LAS. f t.. ..b... : . ~ . , S . x . \ : n : P I . ' : I ~ . : . : : I . N . .;.;.:.:.:.:.:.:.:.:.:.;.:.:.:.:.:........ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..:.:.:.:. . ~ N D : n ~ l n N : : : : :':':':":'. . ...- - - ~ ______________J . . ........+o.!. ~ ~ ~ ~ , 09. , . mS!!::J", w. ~ ~ ~ , : : : : : : : : : , : : : : : : : : : : : . : : ; . ; . : : : : , : Q ~ ~ O :. . : : a ~ ( . : ) , j / ~ : y : : : : : : : ~ : : : : ... :::::::::::.......... ....... .. ..... ... ..

Code 5-B. Nature Of Action 6-A. Code 6-B. Nature of Action890 MISC PAY ADJCode 5-0 . Legal Authority

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

ASSOC GEN COUNSEL (LEGAL POLICY)27200000 OCG-198

and Location of POSition's Organization

SECURITIES AND EXCHANGE COMMISSIONOFFICE OF GENERAL COUNSELOFF OF ASSOC GEN CNSL (LEGAL PLCY)

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

FEGLI (b)(6)(b)(6


6-E . Code 6-F . Legal Authority

15 . TO: Position Title and NumberASSOC GEN COUNSEL (LEGAL POLICY)27200000 OCG-198

22 . Name and location of Position's Organization

SECURITIES AND EXCHANGE COMMISSIONOFFICE OF GENERAL COUNSELOFF OF ASSOC GEN CNSL (LEGAL PLCY)

FULL-TIME33 . Part-Time Hours PerBiweekly

Pay Periodr A m A n t PI.n 3 1 S r e CompoDate (LelaVe) 32. Work Schedule

H ..U:.: ...5. ".1. . .U.,: ... ... . ~ I J .:. .. .#1..:...:.'1. M ...... : ~ . ; . : .:.:.::.::::. : :.::.:.':.::.::.::.::".": :.::.'': ':".:' : ) ) ~ : ~ ~ J a a T Z ) ~ , ~ , : : t t : ( . ; : " : : ' ; : : " ; " : " : ' . : : . : " : " : " : : : : : : : : : ' ~ ~ ~ ) ) ) ) ( ( / } ' : ' ; " ' ; ................................... ....................... ..................................................... ......................... ...... .Position Occupied 35. FLSA Category 36. Appropriation Code 37. Bargaining Uni t Sta2 1 - Competitive Service 3 - SES General (b)(6)I E - Exempt 8 8 8 8__ ~ 2 _ - ~ E ~ x c ~ e ~ P t ~ e d ~ S ~ e ~ r v ~ i c ~ e ___4 ~ - ~ S ~ E ~ S ~ C ~ a r ~ e e ~ r ~ R ~ e s ~ e r ~ v e ~ d ~ ' - " - ' ~ N _ - ~ N ~ o n ~ e ~ x e ~ m ~ ~ ~ ~ ______________________________________ ____ ~ ~ ~ ___

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

. Agency 0CLS

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

SEOO 1057

]




19/28

7/91of Personnel Management

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

Code 5-B. Nature Of Action721 REASSIGNMENT

Code 5-0. Legal Authority



6-C Code 6-0. Legal AuthorityWDM SCH A 213.3102(D)Code 5-F. Legal Authority 6-E. Code 6-F. Legal AuthorityFROM: Position Title and Number 15. TO: Position Title and Number

DEPUTY GENERAL COUNSEL GENERAL COUNSEL27000000 OGC0298 27000000 OGC0189Pay Planl9. Occ. Code 110. Grade/Level 111. Step/Rate 112. Total SalarySO 0905 02 00 . $230700 r3 . ; ; : as i s 16;; Plan 1 7 ~ ~ c ~ ~ d e r 8 . ~ ; d e / L e v e l Step/Rate 1 2 ; . ~ 0 ; ~ ; ~ / ~ w a r d 121. ; ; :

Basic Pay 1 1 ; . L ~ ~ t ; ~ j 3 ;C3 A ~ . ; ~ i ~ a y 1 1 ; . Other Pay20A. Basic Pay

12 ; . L ~ ~ t ; A ~ j 3 1; ;C3A ~ . ; ~ i ~ a y 12 ; . Other Pay$187417 0 ~ 1 8 7 4 1 7 0Name and Location of Position's Organization 22. Name and Location of Position's OrganizationSECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSIONFFICE OF GENERAL COUNSEL OFFICE OF GENERAL COUNSEL

~ ' : t ' 9 ~ . , . J ? ~ .. WASHINGTON, DC....................................................................................... ............................................................................... ...............1 - None 3 -10-Point/Disability 5 -10-Point Other

! . . . . . . l - 1 t i ~ , , - ,i i n t ----_ --'4 -e-C-'1 "OP" 'i" 't-'C"'-''mQensable 6 - 10-Point/Compensable/300/0FEGLI l(b)(6) J~ - - - - - - - - - - - - - - - - - '(b)(6) 29. Pay Rate Determinanto I

Position Occupied 35. FLSA Category 36. Appropriation Code 37. Bargaining Unit Sta1 - Competitive Service 3 - SES General I(b) I E - Exempt_ -- '__ _-_E_xc_e'-pt_ed_S_e_rv_ic_e__4 _ - _ S _ E _ S _ C _ a r _ e e _ r _ R _ e s _ e r v _ e _ d _ - t - ' N - NonexemptDuty Station Code 39. Duty Station (City - County - State or Overseas Location)

. Agency DLS

Remarks

- SECURITIES AND EXCHANGEAgency Code 48. Personnel Office 10

SEOO 1057



8888



20/28

. 7/91

. Office of Personnel ManagementSupp. 296-33, Subch. 4

(Last , First, MiddlelNOTIFICATION OF PERSONNEL ACTION

2. Social Security Number 3. Date of_B_rt_h_ _

~ r l j : : A d : 1 i i . : i / : : / ( i : : i / ) : q : : n : : : : : : : : / : : : : : : : : : : r \ r : ~ i l l l J m O ; : : : ) : ( E t i ; ; : i : ~ ~ ~ ~............ .'.'. . ........ .......................... ..................... ............. . ......... .............................Code 5-B. Nature Of Action 6-A. Code 6-8. Nature of Action894 GEN ADJ

Code 5-0. Legal Authority 6-C Cod e 6-0 . Legal AuthorityZLM P.L. 107-123E. Code 5-F. Legal Authority 6-E . Code 6-F. Legal AuthorityFROM: Position Title and Number 15 . TO: Position Title and Number

ASSOC. GEN. COUNSEL (LIT/ADM PRAC) ASSOC. GEN. COUNSEL (LIT/ADM PRAC)27130000 OGC0197 27130000 OGC0197; ~ l a n I 9 . ~ c ~ ~ o ~ 10. G ~ ~ / L e v e l l ;tep/Rate 1 1 ~ ; 0 ; I ; a ; r ~ 0 1 1 3 . ; ~ a s i s 16.Pay Plan 17. Occ. Code rs, Grade/Level ~ 9 . Step/Rate roo Total Salary/Award 121 . PaySO 0905 02 0 $230700 PA

. Basic Pay 1 1 ; . L ; ~ t ~ ~ j ~ I; ; ~ t ; ; ~ i ~ a y 1 1$ther Pay 0 20A. Basic Pay 12;. L ; ~ t : ; ~ j 2 / ; ; ~ A ~ . ; ~ i ~ a y /2;. Other Pay$192116 ~ 1 9 4 9 9 8 Name and Location of Position's Organization 22. Name and Location of Position's Organization

SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSIONOFFICE OF GENERAL COUNSEL OFFICE OF GENERAL COUNSELOFF/DEPUTY GEN COUNSEL (SOLICITOR) OFF/DEPUTY GEN COUNSEL (SOLICITOR)O/ASSOC GC (LIT & ADMIN PRAC) O/ASSOC GC (LIT & ADMIN PRAC)WASHINGTON, DC . . . . ~ ~ ? ! ! ! ~ ~ ! g ~ , : I ? ~ .................... ....... ................ . .... ..... ........... ...........................e . M I ~ m : M I U ; : ) . T A m t : r r r : ........ .:.:.: ... }:::::::: :: :.:.: ::::::::::::::::::::... :-:-:-:.:-:.::::: ::.:./::::.:.: ........ )():\\(\ .......................... .:-:.:.:-:.:.:-:-::::::::::::::::.:.::.:.: ................................... .......... ......... .:.:.:.:.:::::::::::::::::::::::: ::::::::.::.:-:.......

:.:.:.:.:.:.:.:.:.:.:-: :::::::::::::::;ZTeoure : :::: :: ...... .., ....... l ~ ~ ~ : t ~ ~ : ~ ~ ~ ~ : : : : : ; r 0 ~ ; ~ ; ~ ~ ~ ~ ; ~ ; ~ ; ~ ~ ~ ~ ;J 1 - None 3 -10-Point/Disability 5 -1 0 -Point Other 1 I 0 - None 2 - Conditional I I (b)(6)n i n t - - < l Q E ' O i n ; ; ; ; p . . e n s . . . a : . . . ; b . : . l e ___ _ -,10,--p...:.o_in.;;...t/C,-,0_m.!..p eo_sa _l..;.;e/.:..30,-,%.c.--+::-::--:---L..._--:--p_e::-m....;a_ne_o-,-t_3_-_ln...:.d--ef_in__te---l__ -' -_ _ --'r::-:::-=----::_=-----:_

. FEGLI l(b)(6) I 2S. Annuitant Indicator 29 . Pay Rate De terminanPreference

- - - - - -----'. (b)(6) IOlPosition Occupied

1 - Competitive Service 3 - SES General2 - Excep ted Service 4 - SES Ca reer ReservedDuty Station Code11-0010-001. Agency DCLS

. Remarks

35 _FLSA Category 36. Appropriation Code(b)(6) E - ExemptN - Nonexempt39 . Duty Station (City - County - State or Overseas Location)

WASHINGTON, DISTRICT OF COLUMBIA


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

Agency Code 4S . Personnel'Office 10SEOO 1057

AUTHORIZING OFFICIAL100072163y opy

37 . Bargaining Un it Sta8888



21/28

50-B. 7/91. Office of Personnel Management

Supp. 296-33, Subch. 4 NOTIFICATION OF PERSONNEL ACTIONName (Last, First, Middle) 2. Social Security Number 3 . Date of BirthLEVINE, RICHARD A . .... . . . . . . . . . : : - X X : : : ~ ~ ~ = ) ~ ~ ~ ~ ......~ ...Hb)(6) -.Je l m ~ ~ : i ' h ~ I ' r i : . t ' ' : : . : . : . : ........... .:.. .. .: .. -:-:- .. .: .. -:..:.:.:-:.:.:.:.:-:.:.:.:.: :::::::::::::::::::: :::::::""""""", ':':':':':':':':":::::::: ..... S ~ j ! I i i f i ' : : i i ; ' : j ! I i i > . T . ! I ' " - " ~ i : : : : ' , : , ' i , : m , : : n : : : : : : : : - ~ : : : : - : : . : .. ..... ~ ~ ~ -n Q . f : : i Qr.::::::::::::::ttt:i::i:::: i:::::i::::::::i))/:::..-:-:-::::::::::-:-: )t i) i : .~ * = \ t .::... Y ) M : ~ i / l ..Q,r;' :::, ::"""" : : : : : : " : " : :::::::::::::

5-B . Nature Of Action 6-A. Code 6-B. Nature of Action890 MISC PAY ADJ. Code 5-0. Legal Authority 6-C Code 60. Legal Authority

ZLM P.L. 107-123. Code 5-F. Legal Authority 6E. Code 6-F. Legal AuthorityFROM: Position Title and Number 15. TO: Position Title and NumberASSOCIATE GENERAL COUNSEL ASSOCIATE GENERAL COUNSEL27300000 OGC1027 27300000 OGC1027

I 9 ~ c ~ ~ 0 ~ 1 1 0 . G ~ ~ / L e v e l l ~ ~ S t e p / R a t e 1 1 ~ ; ; I ~ a ; r ~ 8 113. ; ~ a S i S 16;; Plan 1 7 ~ ~ c ~ ~ d e 1 1 8 . ~ r ; d e / L e v e l Step/Rate 1 2 $ . ~ ; a ~ ; ~ / ~ w a r d 121 . ; ~

1 1 ; . L ~ ; t ~ ~ j ~ 1 $ ; C ~ A ~ . ; ~ i ~ a y /1;. Other Pay 20A. Basic Pay 1 2 ; . L ~ ; t ~ A ~ J ~ 1;;C3A ~ . ; ~ i ~ a y 12$" Other Pay$177401 0 ~ 1 8 8 0 4 5 of Position's Organization 22 . Name and Location of Position's Organization

SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSIONOFFICE OF GENERAL COUNSEL OFFICE OF GENERAL COUNSELOFF ASSOC GC (LEGAL POLICY II) OFF ASSOC GC (LEGAL POLICY II)

~ ~ f 3 . ~ r . ~ < 3 , " : r , 9 . ~ ~ p q WASHINGTON,DC................................. ................................. , ............... " ' , ' ,',',', .'.'.','.'.',',' ... .................................. .......... ......... ... .................... ............ .................. ...............................: :: E. .::M...: ...ft. . ::",:J!\.. ....u . .:. . ...,:,.,:,N.::.. ,:ii;;- : : . ~ : : . :.:::::A. .............. .. .:.:.:.:.:.:.:.:.:.:-:-: .. .:.:: :::::,::-:.: ........ .:.:.:.:.:.:.:-:.:.:.:.:.:.:.:.:-:.:.:-:. . .... .. . ..:. . .: . . .:.:.:.:.:.:.:-:.:.:.:.:.: ...................................................... .:.: .. .:.:.:-:.:-:.::::::: ::::::,: :::::::::::::::::::::::::::::::::::::::::::::::::,::::::.: : ' ' ' ' ' ' ' ' ' ' ' .. ' ' ' ' ' ' ' ' ' ' ' ' ' ' ' ' ' ' ' ' ' ' ' ' ' ' ' ' ' ' ': .. ' ' ' , , . ,.,.,,::::~ ~ ~ . ) ! ~ U M ; ~ g ; : ~ ; ; ; ~ : ; ~ " ' ; ; ; : : ~ ~ ~ : : : : m ; : ; : , ~ ; = : ; ; " ; ; : : : ' ~ ~ ; ~ ; t ; : " ' " i ~ M "' " ~ '

FEGLI I b)(it::6f) " 1 = c = . : : : = = : . : : : . - - . : : . . . . . . . : . : : . . : . . : : : : = = = = = : . . : : . . . . - + - 2 ~ 8 = . -A-nn..Ju-ita":n-tl:-nd=ic:::a=to=r : .: :---=--.:: .:=:::: .::: ........JL-----1----l -=2-:c9-P-a-y -=-R-at-e -=-eterminantL. (b)(6) 0 I33 . Part-Time Hours PerRetirement Plan _ ___ _ _ ___ L 1. Service Compo Date (Leave) 32 . Work Schedule

., : : : f t , W ' ~ : ; ::::::::::::::::::::::. ............... ....................... . ....:: .. I . 7 . ~ . ::::':':':"':"""""""::"""""""""""""::::::::::::::::::::::::' . : . . . . . . . . . . ':::::::.,.a.W.ye.p W. : .:. ' , r , . : ~ i ; ; O ' l ! l ' : " , ~ J " " : : : : : : : : : : ' : : : " : : ' : ' : : : : : : : : : : : : : : : : " " " : : ' : " " " " : : : : : : : : : '::::::"""::::::::::::""" "'::::::::::::"" ........................ ... .:.:.:.:.:.:.:-::.:.:.:.:.:.:.:.:..:-:.:.:-:.:.:.:.:.:.:. :.:.: .:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:-:.:.:.: .:.:.:.:.:.:.: ... '::::::::::::::::::::;:::::::::::::::::""::::::,:",:,:,::::::. Position Occupied

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

11-0010-001. Agency 0CLS. Remarks


35 . FLSA Category 36. Appropriation Code 37 . Bargaining Unit Sta8888

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

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


ASSOCIATE EXECUTIVE DIRECTOR110758630y opy



22/28


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

894 GEN ADJ5-0. Legal Authority

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

ASSOC GENERAL COUNSEL (ADJUDICATION)27010000 OGC0222

Name and Location of Position's OrganizationSECURITIES AND EXCHANGE COMMISSIONOFFICE OF GENERAL COUNSELASSOC GEN COUNSEL (ADJUDICATION)


Duty Station Code

. Agency DCLSRemarks

35. FLSA Category

3. Date of Birth


6-E. Code 6-F. Legal Author ity

15 . TO: -Position Title and NumberASSOC GENERAL COUNSEL (ADJUDICATION)27010000 OGC0222

22 . Name and Location of Position's OrganizationSECURITIES AND EXCHANGE COMMISSIONOFFICE OF GENERAL COUNSELASSOC GEN COUNSEL (ADJUDICATION)

36. Appropriation Code 37 . Bargaining Unit Sta8888


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


AUTHORIZING OFFICIAL100071025

y opy



23/28

Form 50-Bv_7/91

_Office of Personnel ManagementSupp_ 296-33, Subch_ 4


2_ Social Security Number 3_ Date of BirthMITCHELL4. MERIDITH ........ x x . x : : - x x E ( ~ ~ ......... .l


24/28


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

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

DEPUTY GENERAL COUNSEL27000000 OGC0298

Pay Plan 19 . Occ. Code 1 10. Grade/Level 111. Step/Rate 112. Total Salary 113. Pay Basis 16;; Plan 17 O ~ ~ ~ d e 118. b r ~ d e / L e v e l Step/Rate 1 2 ; . ~ ; ~ ~ ~ / ~ w a r d 121. ; ; :Basic Pay I 2B. Locality Adj. I 2C. Adj. Basic Pay 1120. Other Pay 20A. Basic Pay 12 ; . L ~ : t ~ A; j6 1 ; ~ ~ A ; . ; ~ i ~ a y I2;. Other Pay~ 1 8 2 0 6 4

Name and Location of Position's Organization 22. Name and Location of Position's OrganizationSECURITIES AND EXCHANGE COMMISSIONOFFICE OF GENERAL COUNSEL

....... .' . "., ......... ........ ...... .. ........... . , . .. ....... '. ......... .. ... .. ',',.,., .. ',',' ....... , . ,.,', . ...... ',',',',',', . ...... ', ....... ' .......................... ,' . ',. ..~ ~ ~ ! ~ 9 . : . g ~ . ~ .. ..'.:.' .............................................: : . . . . : : : : . . . : .:.:.:.:. :. : : : : : : : : : : : : : : : : : : : : : : : : :: :...:: : : : ;:;:;:;:;:;:;:;:;:;:;:;:::;:::;:::;:;:::;:::::;:;:;::::::::.::.::.: .::.::.::.::.::.::.::.::.::.::.::.::.::.::.::.::.::.::.::.::.::.::.::.::.::.::.::.::.::.:: :::::::::::::::.:.: ...... .:.... . .......I... . : : : : . ~ : . : : . . . .:'=:.:I.. .... .: .... . :.:::U..: - : . ~ ..:... :::.::I:..: : : . : ~ . : . : : :.:.: :: :.::::: :::}}}}::::::::::::::::::::::::::::::::::::::::: ':':':':::::':':':':-:':':':':':':':':':':':':':':':'y:.:.:.:.:.:.:-:.:.:.:::::.:.:.:.:.:. .:.:.:.:-:-:.:-...... .JlVeteran.s Preference1 - None 3 - 10-Point/Disability2 - 5-Point 4 - 10-Point CompensableFEGLI [!O)(f3)' I' - - - - - - - - - ~

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

. Agency 0CLS

Remarks

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

35. FLSA Category

SE - SECURITIES AND EXCHANGE48. Personnel Office 10

SEOO 1057

L 5. Agency Use 26. Veterans Preference f2 I 0 - None 2 - Conditional I I (b)(6)24. Tenure 1 - Permanent 3 - Indefinite

2 n n u i t a n l n d i c a t o r _ _ _ _ _ _ _(b)(6) 29. Pay Rate Determinano I36. Appropriation Code 37. Bargaining Unit Sta

8888




25/28

andard Form 50-B. 7/91

S. OHice of Personnel ManagementSupp. 296-33 , Subch. 4

Name (Last. First, Middle)NOTIFICATION OF PERSONNEL ACTION


i i i ~ ~ ~ : : : ~ i : : : .. :)t;::::: ......: .:\\)( ? : : : : ~ : : : : : : : ~ : ~ o . i i " " C O ~ m ~ ~ : ~ ? n 7 ? : : : : : : : : : : : : : < .5-B. Nature Of Action 6-A. Code 6-B. Nature of Action

894 GEN ADJCode 5-0. Legal Authority 6-C Co de 6-0. Legal Authority

ZLM 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 Number,SOLICITOR 'SOLICITOR27120000 OGC0195 27120000 OGC0195; ~ I a n 19 . ~ c ; ~ o ~ 11 O. G ~ ~ / L e v e l 1 ~ S t e p / R a t e 11 ;0;1 ; a ; r ~ 0 113. ; ; : a s i s 1 6 ; ~ Plan 1 7 ~ ~ c ~ ~ d e 1 1 8 . ~ r ; e / L e v e l Step/Rate 1 2 ; . ; 0 ; a ~ ; a ~ / ~ w a r d 121 . ; ; :

Basic Pay 1 1 ~ . L ; ~ t ~ ~ j ~ 1 ~ ~ ~ A ; . ; ~ ~ a y 1 1 ; . Other Pay 20A. Basic Pay 12$ ' L ; ; t ~ A ~ j ~ 1 ; ; ~ A ~ . ; ~ i ~ a y 1?;. Other Pay$192410 0 ~ 1 9 5 2 9 6 . Name and Location of Position's Organization 22. Name and Location of Position's OrganizationSECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSIONOFFICE OF GENERAL COUNSEL OFFICE OF GENERAL COUNSELOFF/DEPUTY GEN COUNSEL (SOLICITOR) OFF/DEPUTY GEN .COUNSEL (SOLICITOR)O/ASSOC GC (APP LIT & BANKRPCY) O/ASSOC GC (APP LIT & BANKRPCY)~ ~ ~ ~ ~ ~ < l . ! ; < : : > ~ . ' . ~ g " '" .................. .. ~ ~ ~ ~ ~ ~ < l . ! ; < : : > ~ , p . g .. . ....................................................

o_BQ'i,emen, PI"n 31 . Service CompoDate (Leave) 33. Part-Time Hours Per

~ s l m l Q ] " H Q l I m l l m m r -o : . . ....=-:.:.: - - ; : ; ; ; : ; : ] : : : : : : : ? : . . . . . . : : : : : : : : : : : : ~ ( ( ~ ~ r : i i i i ~Position Occupied2 1 - Competitive Service2 - Excepted ServiceDuty Station Code11-0010-001. Agency DCLS

. Remarks

35. FLSA Category 36 . Appropriation Code3 - SES General4 - SES Career Res erved (b)(6) E - ExemptN - Nonexempt

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

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

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

SEOO 1057 AUTHORIZING OFFICIAL100070079y opy

37. Barg aining Unit Sta8888



26/28

rm 50-B. 7/91Office of Personnel ManagementSupp. 296-33, Subch. 4 NOTIFICATION OF PERSONNEL ACTION

, First, Middle)

~ ~ D Code 5-B . Nature Of Action2 RETIREMENT-VOLUNTARY

Code 5-0. Legal Authority 6-C Code 6-0 . Legal Authority5 U.S.C. 8336

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

ROM: Position Title and Number 15. TO: Position Title and NumberINIT

OHR0900

Name and Location of Position's Organization 22 . Name and Location of Pos ition's OrganizationAND EXCHANGE COMMISSION

OF THE EXECUTIVE DIRECTOROF HUMAN RESOURCES

FEGLI I b)(6) I 28. Annuitant Indicatorrn "--- ------- -------" (b)(6) I 29 . Pay Rate Determinanto IRet irement Plan .1.31 - Service ComD . Date (Leave) 32. Work Schedule 33 . Part-Time Hours Per

; l m I Q N . : : : : : a I T ~ r ; ; 0 : : H t : CPosition Occupied1 - Competitive Service 3 - SES General2 - Excepted Serv'ce 4 - SES Career ReservedDuty Station Code

Agency DR J!1arks

mploying Department or Agency

35. FLSA Categoryi(b)(] E - ExemptN - Nonexempt36 . Appropriation Code

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

50 . Signature/Authenticat ion and Title of Approving Off icial

37 . Bargaining Unit Stat8888

- SECURITIES AND EXCHANGE JEFFREY A RISINGERgency Code 48_Personnel Office 10

SEOO 1057ASSOCIATE EXECUTIVE DIRECTOR110937121y opy



27/28


Supp. 296-3 3, Subch. 4 NOTIFICATION OF PERSONNEL ACTIONName (Last, First, Middle) 3. Date of Birth

.............. ........................ .'.' ................................ . ....... ............ ................... . ........................................Code 5-B. Nature Of Action 6-A. Code 6-B. Nature of Action130 TRANSFER

Code 5-0. Legal Authority 6-C Code 6-0. Legal Authority

KTM REG. 315.5015-F. Legal Authority 6-E. Code 6-F. Legal AuthorityFROM: Position Title and Number 15. TO: Position Title and NumberCHIEF LEARNING OFFICER

62000000 OHR0093Pay Planl9. Occ. Code 110. Grade/Level 111. Step/Rate 112. Total Salary 113. Pay Basis 16.Pay Plan 17. Occ. Code r8 . Grade/Level ~ 9 . Step/Rate 120. Total Salary/Award 121. Pay

SO 0301 02 0 $227672 PABasic Pay 1 12B. Locality Adj. 1 12C. Adj. Basic Pay 11 20. Other Pay 20A. Basic Pay

12;' L ~ ~ t ; ~ j ~ 1 ; ; 2 A ; . ; ; i ~ a y 1 2 ; . Other Pay$183281 0Name and Location of Position's Organization 22. Name and Location of Position's Organization

FDOO SECURITIES AND EXCHANGE COMMISSIONOFFICE OF THE EXECUTIVE DIRECTOROFFICE OF HUMAN RESOURCES

.................................. . . ..................... .......... ....... .... ,., .. ~ ~ ~ p . ~ . ~ . ~ .. ~ y ~ . ~ g ~ ~ ~ ~ . ....................................b) n 1 None 3 - 10-Point/Disability 5 - 10-Point Other2 : 5-Point 4 - 1 O-Point Compensable 6 - 10-Point/Compensable/30%

( b ) ( 6 ) I~ - - - - - - - - - - - ~

Position Occupied 35. FLSA Category1 - Competitive Service 3 - SES General E - Exempt2 - Excepted Service 4 - SES Career Reserved N - Nonexempt

29. Pay Rate Determinan

36. Appropriation Code 37. Bargaining Unit Sta8888

Duty Station Code 39. Duty Station (City - County - State or Overseas Location)11-0010-001. Agency 0

CLSRemarks

Employing Department or AgencySE - SECURITIES AND EXCHANGE





28/28

7/91.S. Office of Personnel Management



R I S I N G E R ~ J E F F R E Y A.. . ....... .... ....... ..... :.:.:.:.:.:.: :. . :.: . ::.: .... .:.::.::.::.: . . XXXS.' ...:E..: ..:::XXN::...... j.( .b. ..:(. r .> i :) :': T.'. , . .: :II>. .T' . 1. .:.::.::.::. __ . _ _6 )_. : : :....:. . ' ' ' ' ' : . ..:/o.!o! ~ ~ ~ = " " " " ' ' ' ' 'PISSJ.1ilD.::dSNii/r:::i/i:::!:::!::::!: :::/:.i:\:::::::::;::::::ii/:;::::tt::: ~ y . Iii'- _ ~ I U H I }:::f::::A. Code 5-B. Nature Of Action 6-A. Code 6-B. Nature of Action890 MISC PAY ADJ. Code 50 . Legal Authorit y 6-C Code 60 . Legal Authority

ZLM P.L. 107-123E. Code 5F. Legal Authorit y 6-E. Code 6F. Legal Autho rityFROM: Position Title and Number 15. TO: Position Title and NumberASSOCIATE EXECUTIVE DIR. (OHR) ASSOCIATE EXECUTIVE DIR. (OHR)62000000 OAS5312 62000000 OAS5312

Name and Location of Position's Organization 22 . Name and Location of Position's OrganizationSECURITIES AND EXCHANGE COMMISSIONOFFICE OF THE EXECUTIVE DIRECTOROFFICE OF HUMAN RESOURCESSECURITIES AND EXCHANGE COMMISSIONOFFICE OF THE EXECUTIVE DIRECTOROFFICE OF HUMAN RESOURCES

V . ~ g g ! ~ . ! ~ . . ................................ .. ... ~ ~ ~ ~ . ~ ~ , y ! g g : r : ~ ~ ~ ... . ............E.:.:.M..:...P. .:..l:r-'.::.:.::E. .:.:E..:. .D. .A:.:.T. .::.A.... i : i : i. : i : i : i : :>.:.:. :::.:: : : : : ::: ........ .... .: .:-:.: . ::: :::::::::::::::::::::::: :::::::):":::i::::. :::.::.::.: :.::.: ' . : : : : : : :.:.:::..::.:.

SEC Fed Pay Docs 10/25/2011: Part3

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Transcript of SEC Fed Pay Docs 10/25/2011: Part3