• On February 20, 2014, the SEC announced that Sharon Binger was appointed as director of the agency’s Philadelphia Regional Office. Ms. Binger joined the SEC’s enforcement division in 2008 and, since 2011, has served as assistant regional director of the SEC’s New York office.
  • On February 14, 2014, the SEC announced its intention to host a roundtable to discuss cybersecurity and related issues and challenges for market participants.  The roundtable is scheduled to be held at the SEC’s Washington, D.C. headquarters on March 26, 2014.
  • On February 12, 2014, the SEC announced that Paul Leder was named director of the agency’s Office of International Affairs, which advises the SEC on cross-border enforcement and regulatory matters. Mr. Leder joined the staff from a Washington, D.C. law firm, but he was a member of the SEC staff from 1987 to 1999, including several years in the Office of International Affairs when it was first formed.
  • Rick Fleming was named as the SEC’s Investor Advocate. In this role, he will lead an office charged with assisting retail investors in interactions with the SEC and with self-regulatory organizations (SROs) such as FINRA. Mr. Fleming previously served as the deputy general counsel of the North American Securities Administrators Association (NASAA) from October 2011.
  • On January 28, 2014, the SEC announced that Barbara Lorenzen was named the national associate director for OCIE’s Clearance and Settlement Program which, among other things, examines clearing agencies and oversees approximately 450 U.S. transfer agents. Ms. Lorenzen was previously with the SEC’s Chicago regional office.
  • At the beginning of the year, the SEC announced that Enforcement Co- Director George Canellos would leave the agency’s staff. Mr. Canellos joined the staff in July 2009 as the director of the SEC’s New York regional office and has served on the Enforcement staff since 2012.
  • In January, the SEC’s Office of Municipal Securities issued a series of frequently asked questions related to the implementation of its final rules for the registration of municipal advisors. Like any of the staff’s FAQs, the questions and answers are subject to periodic updating.