U.S. Securities and Exchange Commission - Revision history

Barcin Uluisik: /* Office Heads */ add internal link

2011-02-07T13:38:19Z

Office Heads: add internal link

Barcin Uluisik at 15:05, 3 April 2010

2010-04-03T15:05:16Z

Barcin Uluisik at 14:58, 3 April 2010

2010-04-03T14:58:24Z

Barcin Uluisik at 14:45, 3 April 2010

2010-04-03T14:45:33Z

Barcin Uluisik at 14:40, 3 April 2010

2010-04-03T14:40:43Z

Barcin Uluisik at 14:35, 3 April 2010

2010-04-03T14:35:16Z

Barcin Uluisik: New page: The U.S. Securities and Exchange Commission (SEC) is a U.S. government commission created by Congress to regulate the securities markets and protect investors. ==Organisational Struc...

2010-04-01T15:06:15Z

New page: The U.S. Securities and Exchange Commission (SEC) is a U.S. government commission created by Congress to regulate the securities markets and protect investors. ==Organisational Struc...

New page

The [[U.S. Securities and Exchange Commission]] (SEC) is a U.S. government commission created by Congress to regulate the securities markets and protect investors.

==Organisational Structure==
The '''SEC''' consists of five Commissioners appointed by the [[U.S. President]], with staggered five-year terms. One of them is designated by the President as Chairman of the Commission — the agency's chief executive. The agency's functional responsibilities are organized into four Divisions and 19 Offices. Biographical information on all current Commissioners, Division Directors and Office Directors are below.

===Commissioners===
:'''[[Mary L. Schapiro]], Current Commissioner Chairman (2009 - present<ref>01 April 2010.</ref>):''' Schapiro was appointed in January 2009. She was previously CEO of the [[Financial Industry Regulatory Authority]] (FINRA) which she joined in 1996 as President of [[NASD]] Regulation.<ref>SEC, [http://www.sec.gov/about/commissioner/schapiro.htm SEC Biography: Chairman Mary L. Schapiro], accessed 01 April 2010.</ref>

:'''[[Kathleen L. Casey]], Current Commissioner (2006 - present<ref>01 April 2010.</ref>):''' Casey was appointed in July 2006. Before her appointment as Commissioner, she served as Staff Director and Counsel of the [[U.S. Senate Banking, Housing, and Urban Affairs Committee]]. She was previously Legislative Director and Chief of Staff for U.S. Senator [[Richard Shelby]].<ref>SEC, [http://www.sec.gov/about/commissioner/casey.htm SEC Biography: Commissioner Kathleen L. Casey], accessed 01 April 2010.</ref>

:'''[[Elisse B. Walter]], Current Commissioner (2008 - present<ref>01 April 2010.</ref>):''' Walter was appointed in July 2008 and served as Acting Chairman during January 2009. Prior to her appointment she served as Senior Executive Vice President, Regulatory Policy & Programs, for [[FINRA]]. She held the same position at [[NASD]] before its 2007 consolidation with NYSE Member Regulation. Prior to that she was General Counsel of the [[Commodity Futures Trading Commission]].<ref>SEC, [http://www.sec.gov/about/commissioner/walter.htm SEC Biography: Commissioner Elisse B. Walter], accessed 01 April 2010.</ref>

:'''[[Luis A. Aguilar]], Current Commissioner (2008 - present<ref>01 April 2010.</ref>):''' Aguilar was appointed in March 2008. Prior to his appointment he was a partner with the international law firm of [[McKenna Long & Aldridge LLP]], specializing in securities law.<ref>SEC, [http://www.sec.gov/about/commissioner/aguilar.htm SEC Biography: Commissioner Luis A. Aguilar], accessed 01 April 2010.</ref>

:'''[[Troy A. Paredes]], Current Commissioner (2008 - present<ref>01 April 2010.</ref>):''' Paredes was appointed in August 2008. Before joining the SEC, he was a tenured professor at Washington University School of Law in St. Louis, Missouri. He also held a courtesy appointment at Washington University’s Olin Business School. Commissioner Paredes primarily taught and researched in the areas of securities regulation and corporate governance.<ref>SEC, [http://www.sec.gov/about/commissioner/paredes.htm SEC Biography: Commissioner Troy A. Paredes], accessed 01 April 2010.</ref>

===Division Heads===
:'''[[Shelley Parratt]], Deputy Director (Disclosure Operations) of Corporation Finance:'''<ref>As of 01 April 2010.</ref> Parratt joined the Division of Corporation Finance as a Financial Analyst in 1986. She received her MBA from Syracuse University in 1985 and received her B.A. from St. Lawrence University in 1982.<ref>SEC, '[http://www.sec.gov/news/press/2009/2009-3.htm Shelley Parratt Named Acting Director of SEC's Division of Corporation Finance],' Press Release 05 January 2009, accessed 01 April 2010.</ref>

:'''[[Robert Khuzami]], Director of Enforcement:'''<ref>As of 01 April 2010.</ref> Khuzami was most recently an in-house lawyer for [[Deutsche Bank]]. He was appointed [[Deutsche Bank]]’s ‘General Counsel for the Americas’ in January 2004. Prior to that he worked as Assistant United States Attorney in the U.S. Attorney's Office for the Southern District of New York.<ref>SEC, '[http://www.sec.gov/news/press/2009/2009-31.htm Robert Khuzami Named SEC Director of Enforcement],' Press Release 19 February 2009, accessed 01 April 2010.</ref><ref>''Business Wire'', "[http://www.allbusiness.com/government/government-bodies-offices/5211973-1.html Deutsche Bank Appoints Robert Khuzami General Counsel for The Americas]," 13 January 2004, accessed 01 April 2010.</ref>

:'''[[Andrew J. Donohue]], Investment Management Director:'''<ref>As of 01 April 2010.</ref> Donohue took up his post in May 2006. Prior to joining the SEC Donohue was Global General Counsel for [[Merrill Lynch Investment Managers]]. He was also Chairman of the firm's Global Risk Oversight Committee.<ref>SEC, [http://www.sec.gov/spotlight/rule12b-1/bio/ajdonohue.pdf Biography of Andrew J. Donohue], undated, accessed 01 April 2010.</ref>

:'''[[Erik R. Sirri]], Director of Market Regulation:'''<ref>As od 01 April 2010.</ref> Sirri joined the SEC in August 2006. He is on leave from Babson College where he is a Professor of Finance. His research interests include the interaction of securities law and finance, securities market structure, securities trading, and the investment management industry. From 1996 to 1999, Sirri served as the Chief Economist of the Securities and Exchange Commission.<ref>SEC, '[http://www.sec.gov/news/press/2006/2006-140.htm Chairman Cox Names Erik R. Sirri To Be the Commission's Next Director of the Division of Market Regulation],' Press Release 14 August 2006, accessed 01 April 2010.</ref><ref>SEC, [http://www.sec.gov/spotlight/rule12b-1/bio/ersirri.pdf Biography of Erik R. Sirri], undated, accessed 01 April 2010.</ref>

===Office Heads===
:'''[[Didem A. Nisanci]], Chief of Staff:'''<ref>As of 01 April 2010.</ref> Nisanci was appointed in March 2009. She was previously Staff Director for the U.S. Senate Banking Subcommittee on Securities, Insurance, and Investment chaired by U.S. Senator [[Jack Reed]].<ref>SEC, '[http://www.sec.gov/news/press/2009/2009-64.htm Didem Nisanci Named SEC Chief of Staff],' Press Release 24 March 2009, accessed 01 April 2010.</ref>

:'''[[David M. Becker]], General Counsel:'''<ref>As of 01 April 2010.</ref> Becker was appointed in February 2009. He joined the SEC from [[Cleary Gottlieb Steen & Hamilton LLP]], where he was a partner in the firm’s Washington D.C. office. Becker previously served as SEC General Counsel from January 2000 to May 2002 after joining the SEC staff as Deputy General Counsel in 1998.<ref>SEC, '[http://www.sec.gov/news/press/2009/2009-20.htm David M. Becker Named SEC General Counsel and Senior Policy Director],' Press Release06 February 2009, accessed 01 April 2010.</ref>

:'''[[Brenda P. Murray]], Chief Administrative Law Judge:'''<ref>As of 01 April 2010.</ref> Judge Murray was appointed Chief Administrative Law Judge of the United States Securities and Exchange Commission (SEC) on March 20, 1994.<ref>IAWJ, [http://www.iawj.org/what/panama08/PanelistBiographies.pdf Biographies of Speakers], International Association of Women Judges 9th Biennial Conference Panama City, Panama, 25-28 March 2008, accessed 01 April 2010.</ref>

:'''[[Sharon Sheehan]], Associate Executive Director:'''<ref>As of 01 April 2010.</ref> No biographical information available.

:'''[[James L. Kroeker]], Acting Chief Accountant:'''<ref>As of 01 April 2010.</ref> Kroeker was appointed in February 2007. He joined from [Deloitte and Touche LLP]] where he was a partner in the firm's National Office Accounting Services Group from June 2002.<ref>SEC, '[http://www.sec.gov/news/press/2007/2007-13.htm James Kroeker Named Deputy Chief Accountant for Accounting in the Office of the Chief Accountant],' Press Release 05 February 2007, accessed 01 April 2010.</ref>

:'''[[James A. Overdahl]], Former Chief Economist:''' Overdahl was appointed in July 2007. He was previously Chief Economist of the [[Commodity Futures Trading Commission]].<ref>SEC, '[http://www.sec.gov/news/press/2007/2007-150.htm James Overdahl Named SEC Chief Economist to Head Office of Economic Analysis],' Press Release 26 July 2007, accessed 01 April 2010.</ref> The Commission announced in March 2010 that Overdahl will leave the agency to rejoin the private sector after serving since July 2007 as principal economic advisor to the Commission on policy, rulemaking, and litigation support.<ref>SEC, '[http://www.sec.gov/news/press/2010/2010-36.htm Chief Economist James Overdahl to Leave SEC],' Press Release 09 March 2010, accessed 01 April 2010.</ref>

:'''[[Alta G. Rodriguez]], Acting Director of Equal Employment Opportunity:'''<ref>As of 01 April 2010.</ref> Rodriguez was appointed Acting Director of Equal Employment Opportunity in January 2009. She was the EEO Deputy Director at the SEC from October 2008, and was previously Manager of National Diversity Initiatives for the United States Postal Service.<ref>SEC, '[http://www.sec.gov/news/press/2009/2009-2.htm Alta G. Rodriguez Named SEC's Acting EEO Director],' Press Release 05 January 2009, accessed 01 April 2010.</ref>

{{Template: Revolving Door badge}}

==Resources==
*''Business Wire'', "[http://www.allbusiness.com/government/government-bodies-offices/5211973-1.html Deutsche Bank Appoints Robert Khuzami General Counsel for The Americas]," 13 January 2004, accessed 01 April 2010.
*IAWJ, [http://www.iawj.org/what/panama08/PanelistBiographies.pdf Biographies of Speakers], International Association of Women Judges 9th Biennial Conference Panama City, Panama, 25-28 March 2008, accessed 01 April 2010.
*SEC, '[http://www.sec.gov/news/press/2009/2009-2.htm Alta G. Rodriguez Named SEC's Acting EEO Director],' Press Release 05 January 2009, accessed 01 April 2010.
*SEC, [http://www.sec.gov/spotlight/rule12b-1/bio/ajdonohue.pdf Biography of Andrew J. Donohue], undated, accessed 01 April 2010.
*SEC, [http://www.sec.gov/spotlight/rule12b-1/bio/ersirri.pdf Biography of Erik R. Sirri], undated, accessed 01 April 2010.
*SEC, '[http://www.sec.gov/news/press/2006/2006-140.htm Chairman Cox Names Erik R. Sirri To Be the Commission's Next Director of the Division of Market Regulation],' Press Release 14 August 2006, accessed 01 April 2010.
*SEC, '[http://www.sec.gov/news/press/2010/2010-36.htm Chief Economist James Overdahl to Leave SEC],' Press Release 09 March 2010, accessed 01 April 2010.
*SEC, [http://www.sec.gov/about/commissioner.shtml Current SEC Commissioners], accessed 01 April 2010.
*SEC, '[http://www.sec.gov/news/press/2009/2009-20.htm David M. Becker Named SEC General Counsel and Senior Policy Director],' Press Release06 February 2009, accessed 01 April 2010.
*SEC, '[http://www.sec.gov/news/press/2009/2009-64.htm Didem Nisanci Named SEC Chief of Staff],' Press Release 24 March 2009, accessed 01 April 2010.
*SEC, '[http://www.sec.gov/news/press/2007/2007-13.htm James Kroeker Named Deputy Chief Accountant for Accounting in the Office of the Chief Accountant],' Press Release 05 February 2007, accessed 01 April 2010.
*SEC, '[http://www.sec.gov/news/press/2007/2007-150.htm James Overdahl Named SEC Chief Economist to Head Office of Economic Analysis],' Press Release 26 July 2007, accessed 01 April 2010.
*SEC, '[http://www.sec.gov/news/press/2009/2009-31.htm Robert Khuzami Named SEC Director of Enforcement],' Press Release 19 February 2009, accessed 01 April 2010.
*SEC, '[http://www.sec.gov/news/press/2009/2009-3.htm Shelley Parratt Named Acting Director of SEC's Division of Corporation Finance],' Press Release 05 January 2009, accessed 01 April 2010.

==Notes==
<references/>

[[Category: Financial Regulator]]

@@ Line 26: / Line 26: @@
 ===Office Heads===
-:'''[[Didem A. Nisanci]], Chief of Staff:'''<ref>As of 01 April 2010.</ref> Nisanci was appointed in March 2009.  She was previously Staff Director for the U.S. Senate Banking Subcommittee on Securities, Insurance, and Investment chaired by U.S. Senator [[Jack Reed]].<ref>SEC, '[http://www.sec.gov/news/press/2009/2009-64.htm Didem Nisanci Named SEC Chief of Staff],' Press Release 24 March 2009, accessed 01 April 2010.</ref>
+:'''[[Didem A. Nisanci]], Chief of Staff:'''<ref>As of 01 April 2010.</ref> Nisanci was appointed in March 2009. She was previously Staff Director for the U.S. Senate Banking Subcommittee on Securities, Insurance, and Investment chaired by U.S. Senator [[Jack Reed]].<ref>SEC, '[http://www.sec.gov/news/press/2009/2009-64.htm Didem Nisanci Named SEC Chief of Staff],' Press Release 24 March 2009, accessed 01 April 2010.</ref>
 :'''[[David M. Becker]], General Counsel:'''<ref>As of 01 April 2010.</ref> Becker was appointed in February 2009. He joined the SEC from [[Cleary Gottlieb Steen & Hamilton LLP]], where he was a partner in the firm’s Washington D.C. office. Becker previously served as SEC General Counsel from January 2000 to May 2002 after joining the SEC staff as Deputy General Counsel in 1998.<ref>SEC, '[http://www.sec.gov/news/press/2009/2009-20.htm David M. Becker Named SEC General Counsel and Senior Policy Director],' Press Release06 February 2009, accessed 01 April 2010.</ref>
@@ Line 56: / Line 56: @@
 :'''[[Ethiopis Tafara]], Director of the Office of International Affairs:'''<ref>As of 03 April 2010.</ref> Tafara joined the SEC in 1999 as an Assistant Director in the Office of International Affairs. He was previously counsel to the chairperson at the [[U.S. Commodity Futures Trading Commission]] and also served in the [[CFTC]]'s Division of Enforcement. He began his legal career in [[Cleary, Gottlieb, Steen and Hamilton]]'s Brussels office, where he worked on trade and competition matters.<ref>SEC, [http://www.sec.gov/news/press/2002-133.htm Ethiopis Tafara Named Acting Director of the Office of International Affairs],' Press Release 06 September 2002, accessed 03 April 2010.</ref>
-:'''[[Kristin J. Kaepplein]], Director of the Office of Investor Education and Advocacy:'''<ref>As of 03 April 2010.</ref> Before joining the SEC in July 2007, Kristin J. Kaepplein was Vice President for Global Compliance Operations at [[Goldman Sachs]]. Prior to joining Goldman Sachs in 2004, she worked with many of the financial services industry's largest broker-dealers and investment managers as a management consultant with [[PricewaterhouseCoopers]] and TIAA-CREF, and as self-employed contractor.<ref>SEC, '[http://www.sec.gov/news/press/2007/2007-153.htm SEC Chairman Cox Appoints Kristin J. Kaepplein Director of the Office of Investor Education and Advocacy; Announces Expansion of the Office],' Press Release 31 July 2007, accessed 03 April 2010.</ref>
+:'''[[Kristin J. Kaepplein]], Director of the Office of Investor Education and Advocacy:'''<ref>As of 03 April 2010.</ref> Before joining the SEC in July 2007, Kristin J. Kaepplein was Vice President for Global Compliance Operations at [[Goldman Sachs]]. Prior to joining Goldman Sachs in 2004, she worked with many of the financial services industry's largest broker-dealers and investment managers as a management consultant with [[PricewaterhouseCoopers]] and [[TIAA-CREF]], and as self-employed contractor.<ref>SEC, '[http://www.sec.gov/news/press/2007/2007-153.htm SEC Chairman Cox Appoints Kristin J. Kaepplein Director of the Office of Investor Education and Advocacy; Announces Expansion of the Office],' Press Release 31 July 2007, accessed 03 April 2010.</ref>
 :'''[[William Schulz]], Former Director, Office of Legislative and Intergovernmental Affairs:'''<ref>SEC, '[http://www.sec.gov/news/digest/2009/dig051509.htm Director of Legislative and Intergovernmental Affairs William Schulz to Leave SEC],' '''SEC News Digest''', Issue 2009-93, 15 May 2009, accessed 03 April 2010.</ref> Before joining the SEC in 2002, William Schulz served as Special Master at the Court of Federal Claims, where he oversaw the management and resolution of multi-billion dollar banking litigation spawned by the collapse of the savings and loan industry and the passage of [[FIRREA]].<ref>SEC, '[http://www.sec.gov/news/press/2008/2008-153.htm William Schulz Named Director of Legislative and Intergovernmental Affairs],' Press Release 29 July 2008, accessed 03 April 2010.</ref>
@@ Line 68: / Line 68: @@
 {{Template: Revolving Door badge}}
 ==Resources==

@@ Line 63: / Line 63: @@
 :'''[[Jonathan S. Sokobin]], Director, Office of Risk Assessment:'''<ref>As of 03 April 2010.</ref> Sokobin was named Director of the agency's Office of Risk Assessment in February 2008. He joined the SEC in 1998 and has served as Deputy Chief Economist since 2002.<ref>SEC, '[http://www.sec.gov/news/press/2008/2008-24.htm Jonathan Sokobin Named Director of SEC's Office of Risk Assessment],' Press Release 28 February 2008, accessed 03 April 2010.</ref>
@@ Line 84: / Line 86: @@
 *SEC, '[http://www.sec.gov/news/press/2006/2006-141.htm Diego Tomás Ruiz Named Executive Director of the Securities and Exchange Commission],' Press Release 16 August 2006, accessed 03 April 2010.
 *SEC, '[http://www.sec.gov/news/digest/2009/dig051509.htm Director of Legislative and Intergovernmental Affairs William Schulz to Leave SEC],' '''SEC News Digest''', Issue 2009-93, 15 May 2009, accessed 03 April 2010.
 *SEC, [http://www.sec.gov/news/press/2002-133.htm Ethiopis Tafara Named Acting Director of the Office of International Affairs],' Press Release 06 September 2002, accessed 03 April 2010.
 *SEC, '[http://www.sec.gov/news/press/2007/2007-251.htm H. David Kotz Named New Inspector General at SEC],' Press Release 05 December 2007, accessed 03 April 2010.

@@ Line 56: / Line 56: @@
 :'''[[Ethiopis Tafara]], Director of the Office of International Affairs:'''<ref>As of 03 April 2010.</ref> Tafara joined the SEC in 1999 as an Assistant Director in the Office of International Affairs. He was previously counsel to the chairperson at the [[U.S. Commodity Futures Trading Commission]] and also served in the [[CFTC]]'s Division of Enforcement. He began his legal career in [[Cleary, Gottlieb, Steen and Hamilton]]'s Brussels office, where he worked on trade and competition matters.<ref>SEC, [http://www.sec.gov/news/press/2002-133.htm Ethiopis Tafara Named Acting Director of the Office of International Affairs],' Press Release 06 September 2002, accessed 03 April 2010.</ref>
-:'''[[Kristin J. Kaepplein]], Director of the Office of Investor Education and Advocacy
+:'''[[Kristin J. Kaepplein]], Director of the Office of Investor Education and Advocacy:'''<ref>As of 03 April 2010.</ref> Before joining the SEC in July 2007, Kristin J. Kaepplein was Vice President for Global Compliance Operations at [[Goldman Sachs]]. Prior to joining Goldman Sachs in 2004, she worked with many of the financial services industry's largest broker-dealers and investment managers as a management consultant with [[PricewaterhouseCoopers]] and TIAA-CREF, and as self-employed contractor.<ref>SEC, '[http://www.sec.gov/news/press/2007/2007-153.htm SEC Chairman Cox Appoints Kristin J. Kaepplein Director of the Office of Investor Education and Advocacy; Announces Expansion of the Office],' Press Release 31 July 2007, accessed 03 April 2010.</ref>
-Before joining the SEC in July 2007, Kristin J. Kaepplein was Vice President for Global Compliance Operations at Goldman Sachs.  Prior to joining Goldman Sachs in 2004, she worked with many of the financial services industry's largest broker-dealers and investment managers as a management consultant with PricewaterhouseCoopers and TIAA-CREF, and as self-employed contractor.
+:'''[[William Schulz]], Former Director, Office of Legislative and Intergovernmental Affairs:'''<ref>SEC, '[http://www.sec.gov/news/digest/2009/dig051509.htm Director of Legislative and Intergovernmental Affairs William Schulz to Leave SEC],' '''SEC News Digest''', Issue 2009-93, 15 May 2009, accessed 03 April 2010.</ref> Before joining the SEC in 2002, William Schulz served as Special Master at the Court of Federal Claims, where he oversaw the management and resolution of multi-billion dollar banking litigation spawned by the collapse of the savings and loan industry and the passage of [[FIRREA]].<ref>SEC, '[http://www.sec.gov/news/press/2008/2008-153.htm William Schulz Named Director of Legislative and Intergovernmental Affairs],' Press Release 29 July 2008, accessed 03 April 2010.</ref>
-:'''[[William Schulz
+:'''[[John Nester]], Director of the Office of Public Affairs:'''<ref>As of 03 April 2010.</ref> Nester joined the Office of Public Affairs in June 2002 as Media Director and Public Affairs Specialist. Previously, he served five and one-half years as Media Director in the SEC’s Office of Investor Education and worked for more than a decade as a journalist covering Capitol Hill and government, including as a bureau chief, assignment editor, and television correspondent.<ref>SEC, '[http://www.sec.gov/news/press/2006-28.htm Chairman Christopher Cox Appoints SEC Veteran John Nester Director of Public Affairs],' Press Release 27 February 2006, accessed 03 April 2010.</ref>
-Before joining the SEC in 2002, William Schulz served as Special Master at the Court of Federal Claims, where he oversaw the management and resolution of multi-billion dollar banking litigation spawned by the collapse of the savings and loan industry and the passage of FIRREA.
+:'''[[Jonathan S. Sokobin]], Director, Office of Risk Assessment:'''<ref>As of 03 April 2010.</ref> Sokobin was named Director of the agency's Office of Risk Assessment in February 2008. He joined the SEC in 1998 and has served as Deputy Chief Economist since 2002.<ref>SEC, '[http://www.sec.gov/news/press/2008/2008-24.htm Jonathan Sokobin Named Director of SEC's Office of Risk Assessment],' Press Release 28 February 2008, accessed 03 April 2010.</ref>
@@ Line 87: / Line 75: @@
 *SEC, [http://www.sec.gov/spotlight/rule12b-1/bio/ersirri.pdf Biography of Erik R. Sirri], undated, accessed 01 April 2010.
 *SEC, [http://www.sec.gov/spotlight/seniors/bios/lori_a_richards.pdf Biography of Lori A. Richards], accessed 03 April 2010.
 *SEC, '[http://www.sec.gov/news/press/2006/2006-140.htm Chairman Cox Names Erik R. Sirri To Be the Commission's Next Director of the Division of Market Regulation],' Press Release 14 August 2006, accessed 01 April 2010.
 *SEC, '[http://www.sec.gov/news/press/2008/2008-289.htm Charles Boucher Named SEC Chief Information Officer],' Press Release 09 December 2008, accessed 03 April 2010.
@@ Line 94: / Line 83: @@
 *SEC, '[http://www.sec.gov/news/press/2009/2009-64.htm Didem Nisanci Named SEC Chief of Staff],' Press Release 24 March 2009, accessed 01 April 2010.
 *SEC, '[http://www.sec.gov/news/press/2006/2006-141.htm Diego Tomás Ruiz Named Executive Director of the Securities and Exchange Commission],' Press Release 16 August 2006, accessed 03 April 2010.
 *SEC, [http://www.sec.gov/news/press/2002-133.htm Ethiopis Tafara Named Acting Director of the Office of International Affairs],' Press Release 06 September 2002, accessed 03 April 2010.
 *SEC, '[http://www.sec.gov/news/press/2007/2007-251.htm H. David Kotz Named New Inspector General at SEC],' Press Release 05 December 2007, accessed 03 April 2010.
@@ Line 99: / Line 89: @@
 *SEC, '[http://www.sec.gov/news/press/2007/2007-150.htm James Overdahl Named SEC Chief Economist to Head Office of Economic Analysis],' Press Release 26 July 2007, accessed 01 April 2010.
 *SEC, '[http://www.sec.gov/news/press/2006/2006-87.htm Jeffrey Risinger Designated Acting Executive Director],' Press Release 05 June 2006, accessed 03 April 2010.
 *SEC, '[http://www.sec.gov/news/press/2006/2006-216.htm Kristine Chadwick Named SEC's Chief Financial Officer],' Press Release 21 December 2006, accessed 03 April 2010.
 *SEC, '[http://www.sec.gov/news/press/2009/2009-153.htm Lori Richards, Director of the Office of Compliance Inspections and Examinations, to Leave SEC],' Press Release 08 July 2009, accessed 03 April 2010.
 *SEC, '[http://www.sec.gov/news/press/2009/2009-31.htm Robert Khuzami Named SEC Director of Enforcement],' Press Release 19 February 2009, accessed 01 April 2010.
 *SEC, '[http://www.sec.gov/news/press/2009/2009-3.htm Shelley Parratt Named Acting Director of SEC's Division of Corporation Finance],' Press Release 05 January 2009, accessed 01 April 2010.
 ==Notes==

@@ Line 41: / Line 41: @@
 :'''[[Diego Tomás Ruiz]], Executive Director:'''<ref>As of 03 April 2010.</ref> Tomás Ruiz was appointed in August 2006. He was previously Executive Director of [[Univision Communications, Inc.]], the leading Spanish-language media company in the United States.<ref>SEC, '[http://www.sec.gov/news/press/2006/2006-141.htm Diego Tomás Ruiz Named Executive Director of the Securities and Exchange Commission],' Press Release 16 August 2006, accessed 03 April 2010.</ref>
 :'''[[Kristine Chadwick]], Associate Executive Director:'''<ref>As of 03 April 2010.</ref> Chadwick was appointed in December 2006. She was previously Chief Financial Officer for the Department of Agriculture's Farm Service Agency, Foreign Agricultural Service, and Commodity Credit Corporation. Prior to that she had worked at the Census Bureau, [[FDIC]], and the Resolution Trust Corporation, as well as in the private sector at [[Arthur Anderson & Co.]]<ref>SEC, '[http://www.sec.gov/news/press/2006/2006-216.htm Kristine Chadwick Named SEC's Chief Financial Officer],' Press Release 21 December 2006, accessed 03 April 2010.</ref>
-:'''[[Lori A. Richards]], Former Director of Compliance Inspections and Examinations:'''<ref>SEC, '[http://www.sec.gov/news/press/2009/2009-153.htm Lori Richards, Director of the Office of Compliance Inspections and Examinations, to Leave SEC],' Press Release 08 July 2009, accessed 03 April 2010.</ref> Richards was appointed in May 1995. She started her career with the SEC in 1985 in the Enforcement program in Los Angeles.<ref>SEC, [http://www.sec.gov/spotlight/seniors/bios/lori_a_richards.pdf Bigraphy of Lori A. Richards], accessed 03 April 2010.</ref>
+:'''[[Lori A. Richards]], Former Director of Compliance Inspections and Examinations:'''<ref>SEC, '[http://www.sec.gov/news/press/2009/2009-153.htm Lori Richards, Director of the Office of Compliance Inspections and Examinations, to Leave SEC],' Press Release 08 July 2009, accessed 03 April 2010.</ref> Richards was appointed in May 1995. She started her career with the SEC in 1985 in the Enforcement program in Los Angeles.<ref>SEC, [http://www.sec.gov/spotlight/seniors/bios/lori_a_richards.pdf Biography of Lori A. Richards], accessed 03 April 2010.</ref>
 :'''[[Celia Winter]], FOIA/PA Officer:'''<ref>As of 03 April 2010.</ref> No biographical information available.
 :'''[[Jeffrey Risinger]], Director of Human Resources:'''<ref>As of 03 April 2010.</ref> Risinger joined in 2005. Previously he was Deputy Associate Director at the U.S. Office of Personnel Management.<ref>SEC, '[http://www.sec.gov/news/press/2006/2006-87.htm Jeffrey Risinger Designated Acting Executive Director],' Press Release 05 June 2006, accessed 03 April 2010.</ref>
 :'''[[Charles Boucher]], Chief Information Officer and Director of the Office of Information Technology:'''<ref>As of 03 April 2010.</ref> Before joining the SEC in December 2008, Boucher was an Executive Director at [[Morgan Stanley]], where he directed all technology audits for infrastructure, including information security and disaster recovery. Prior to that role, he served as Senior Vice President and Chief Information Officer at [[Standard & Poor's]], where he managed all aspects of the company's technology systems and programs. Prior to that he was Principal Head, IT Coverage for [[Morgan Stanley]] and Vice President, Area Manager for [[Chase Manhattan]].<ref>SEC, '[http://www.sec.gov/news/press/2008/2008-289.htm Charles Boucher Named SEC Chief Information Officer],' Press Release 09 December 2008, accessed 03 April 2010.</ref>
 :'''[[H. David Kotz]], Inspector General:'''<ref>As of 03 April 2010.</ref> Before joining the SEC in December 2007, H. David Kotz was Inspector General of the [[Peace Corps]]. He previously worked at the [[U.S. Agency for International Development]] (USAID) and the Office of Labor and Employee Relations. Prior to his government service, Mr. Kotz worked at three law firms: [[Pepper Hamilton LLP]] in Washington D.C.; [[Stults & Balber, P.C.]], in New York City; and [[Graham & James]] in New York City.<ref>SEC, '[http://www.sec.gov/news/press/2007/2007-251.htm H. David Kotz Named New Inspector General at SEC],' Press Release 05 December 2007, accessed 03 April 2010.</ref>
 :'''[[Ethiopis Tafara]], Director of the Office of International Affairs:'''<ref>As of 03 April 2010.</ref> Tafara joined the SEC in 1999 as an Assistant Director in the Office of International Affairs. He was previously counsel to the chairperson at the [[U.S. Commodity Futures Trading Commission]] and also served in the [[CFTC]]'s Division of Enforcement. He began his legal career in [[Cleary, Gottlieb, Steen and Hamilton]]'s Brussels office, where he worked on trade and competition matters.<ref>SEC, [http://www.sec.gov/news/press/2002-133.htm Ethiopis Tafara Named Acting Director of the Office of International Affairs],' Press Release 06 September 2002, accessed 03 April 2010.</ref>
 :'''[[Kristin J. Kaepplein]], Director of the Office of Investor Education and Advocacy
@@ Line 93: / Line 86: @@
 *SEC, [http://www.sec.gov/spotlight/rule12b-1/bio/ajdonohue.pdf Biography of Andrew J. Donohue], undated, accessed 01 April 2010.
 *SEC, [http://www.sec.gov/spotlight/rule12b-1/bio/ersirri.pdf Biography of Erik R. Sirri], undated, accessed 01 April 2010.
 *SEC, '[http://www.sec.gov/news/press/2006/2006-140.htm Chairman Cox Names Erik R. Sirri To Be the Commission's Next Director of the Division of Market Regulation],' Press Release 14 August 2006, accessed 01 April 2010.
 *SEC, '[http://www.sec.gov/news/press/2010/2010-36.htm Chief Economist James Overdahl to Leave SEC],' Press Release 09 March 2010, accessed 01 April 2010.
 *SEC, [http://www.sec.gov/about/commissioner.shtml Current SEC Commissioners], accessed 01 April 2010.
 *SEC, '[http://www.sec.gov/news/press/2009/2009-20.htm David M. Becker Named SEC General Counsel and Senior Policy Director],' Press Release06 February 2009, accessed 01 April 2010.
 *SEC, '[http://www.sec.gov/news/press/2009/2009-64.htm Didem Nisanci Named SEC Chief of Staff],' Press Release 24 March 2009, accessed 01 April 2010.
 *SEC, '[http://www.sec.gov/news/press/2007/2007-13.htm James Kroeker Named Deputy Chief Accountant for Accounting in the Office of the Chief Accountant],' Press Release 05 February 2007, accessed 01 April 2010.
 *SEC, '[http://www.sec.gov/news/press/2007/2007-150.htm James Overdahl Named SEC Chief Economist to Head Office of Economic Analysis],' Press Release 26 July 2007, accessed 01 April 2010.
 *SEC, '[http://www.sec.gov/news/press/2009/2009-153.htm Lori Richards, Director of the Office of Compliance Inspections and Examinations, to Leave SEC],' Press Release 08 July 2009, accessed 03 April 2010.
 *SEC, '[http://www.sec.gov/news/press/2009/2009-31.htm Robert Khuzami Named SEC Director of Enforcement],' Press Release 19 February 2009, accessed 01 April 2010.

@@ Line 57: / Line 57: @@
-:'''[[H. David Kotz]], Inspector General:'''<ref>As of 03 April 2010.</ref> Before joining the SEC in December 2007, H. David Kotz was Inspector General of the [[Peace Corps]]. He previously worked at the [[U.S. Agency for International Development]] (USAID) and the Office of Labor and Employee Relations. Prior to his government service, Mr. Kotz worked at three law firms: [[Pepper Hamilton LLP]] in Washington D.C.; [[Stults & Balber, P.C.]], in New York City; and [[Graham & James]] in New York City.
+:'''[[H. David Kotz]], Inspector General:'''<ref>As of 03 April 2010.</ref> Before joining the SEC in December 2007, H. David Kotz was Inspector General of the [[Peace Corps]]. He previously worked at the [[U.S. Agency for International Development]] (USAID) and the Office of Labor and Employee Relations. Prior to his government service, Mr. Kotz worked at three law firms: [[Pepper Hamilton LLP]] in Washington D.C.; [[Stults & Balber, P.C.]], in New York City; and [[Graham & James]] in New York City.<ref>SEC, '[http://www.sec.gov/news/press/2007/2007-251.htm H. David Kotz Named New Inspector General at SEC],' Press Release 05 December 2007, accessed 03 April 2010.</ref>
-:'''[[Ethiopis Tafara
+:'''[[Ethiopis Tafara]], Director of the Office of International Affairs:'''<ref>As of 03 April 2010.</ref> Tafara joined the SEC in 1999 as an Assistant Director in the Office of International Affairs. He was previously counsel to the chairperson at the [[U.S. Commodity Futures Trading Commission]] and also served in the [[CFTC]]'s Division of Enforcement. He began his legal career in [[Cleary, Gottlieb, Steen and Hamilton]]'s Brussels office, where he worked on trade and competition matters.<ref>SEC, [http://www.sec.gov/news/press/2002-133.htm Ethiopis Tafara Named Acting Director of the Office of International Affairs],' Press Release 06 September 2002, accessed 03 April 2010.</ref>
-:'''[[Kristin J. Kaepplein
+:'''[[Kristin J. Kaepplein]], Director of the Office of Investor Education and Advocacy
 Before joining the SEC in July 2007, Kristin J. Kaepplein was Vice President for Global Compliance Operations at Goldman Sachs.  Prior to joining Goldman Sachs in 2004, she worked with many of the financial services industry's largest broker-dealers and investment managers as a management consultant with PricewaterhouseCoopers and TIAA-CREF, and as self-employed contractor.