| Date | Description |
|---|
| 2023-04-28 |
delete chieflegalofficer Dan M. Berkovitz |
| 2023-04-28 |
delete otherexecutives David Peavler |
| 2023-04-28 |
delete otherexecutives James McNamara |
| 2023-04-28 |
delete otherexecutives Kurt Gottschall |
| 2023-04-28 |
delete otherexecutives Paul Levenson |
| 2023-04-28 |
delete president Allison Herren Lee |
| 2023-04-28 |
insert chieflegalofficer Megan Barbero |
| 2023-04-28 |
insert otherexecutives Cristina Martin |
| 2023-04-28 |
insert otherexecutives Jason Burt |
| 2023-04-28 |
insert otherexecutives Mark Reinhold |
| 2023-04-28 |
insert otherexecutives Monique Winkler |
| 2023-04-28 |
insert otherexecutives Silvestre A. Fontes |
| 2023-04-28 |
delete email ch..@sec.gov |
| 2023-04-28 |
delete email co..@sec.gov |
| 2023-04-28 |
delete person Allison Herren Lee |
| 2023-04-28 |
delete person Bryan Bennett |
| 2023-04-28 |
delete person Charles Koretke |
| 2023-04-28 |
delete person Dan M. Berkovitz |
| 2023-04-28 |
delete person David Peavler |
| 2023-04-28 |
delete person Edward Haddad |
| 2023-04-28 |
delete person James Grimes |
| 2023-04-28 |
delete person James McNamara |
| 2023-04-28 |
delete person Kurt Gottschall |
| 2023-04-28 |
delete person Paul Levenson |
| 2023-04-28 |
delete person Rebecca Sharek |
| 2023-04-28 |
delete person Renee Jones |
| 2023-04-28 |
delete person Rick A. Fleming |
| 2023-04-28 |
delete person Tanya Beard |
| 2023-04-28 |
delete source_ip 142.250.180.19 |
| 2023-04-28 |
insert email co..@sec.gov |
| 2023-04-28 |
insert email co..@sec.gov |
| 2023-04-28 |
insert person Allison Fakhoury |
| 2023-04-28 |
insert person Cristina Martin |
| 2023-04-28 |
insert person Elena Ro |
| 2023-04-28 |
insert person Erik Gerding |
| 2023-04-28 |
insert person Helen Albert |
| 2023-04-28 |
insert person J. Cindy Eson |
| 2023-04-28 |
insert person Jaime Lizárraga |
| 2023-04-28 |
insert person Mark Reinhold |
| 2023-04-28 |
insert person Megan Barbero |
| 2023-04-28 |
insert person Silvestre A. Fontes |
| 2023-04-28 |
insert person Susan Budd |
| 2023-04-28 |
insert phone 202-551-2700 |
| 2023-04-28 |
insert source_ip 142.250.187.211 |
| 2023-04-28 |
update person_title Eric R. Werner: Associate Regional Director ( Enforcement ) => Co - Acting Regional Director, Associate Regional Director ( Enforcement ); Acting Co - Regional Director |
| 2023-04-28 |
update person_title Jason Burt: Associate Regional Director ( Enforcement ) => Regional Director; Acting Co - Regional Director |
| 2023-04-28 |
update person_title John Dugan: Associate Regional Director ( Enforcement ) => Associate Regional Director ( Enforcement ); Acting Co - Regional Director |
| 2023-04-28 |
update person_title Joy G. Thompson: Acting Co - Regional Director; Acting Deputy Director; Associate Regional Director ( Examinations ) Salt Lake Regional Office => Associate Regional Director ( Examinations ); Associate Regional Director ( Examinations ) Salt Lake Regional Office |
| 2023-04-28 |
update person_title Keith Cassidy: National Associate Director of the Technology Controls Program => Co - Deputy Director; National Associate Director of the Technology Controls Program |
| 2023-04-28 |
update person_title Kevin Kelcourse: Associate Regional Director ( Examinations ) Chicago Regional Office; Associate Regional Director ( Examinations ) => Associate Regional Director ( Examinations ) Chicago Regional Office; Associate Regional Director ( Examinations ); Acting Co - Regional Director |
| 2023-04-28 |
update person_title Lori H. Price: Acting Director => Director |
| 2023-04-28 |
update person_title Lourdes Caballes: Associate Regional Director, Broker Dealer and Exchange Examination Program; Acting National Associate Director of the Clearance and Settlement Examination Program => Associate Regional Director ( Broker - Dealer ); Associate Regional Director, Broker Dealer and Exchange Examination Program |
| 2023-04-28 |
update person_title Marshall Gandy: Co - National Associate Director of the Investment Adviser / Investment Company Examination Program; Co - National Associate Director, IA - IC Examinations ( OCIE ); Associate Regional Director ( Examinations ) Los Angeles Regional Office => Co - Acting Regional Director, Co - National Associate Director, IA - IC Examinations ( OCIE ); Co - National Associate Director of the Investment Adviser / Investment Company Examination Program; Acting Co - Regional Director; Associate Regional Director ( Examinations ) Los Angeles Regional Office |
| 2023-04-28 |
update person_title Monique Winkler: Acting Regional Director => Regional Director |
| 2023-04-28 |
update person_title Natasha Vij Greiner: Co - National Associate Director of the Investment Adviser / Investment Company Examination Program => Co - Deputy Director; Co - National Associate Director of the Investment Adviser / Investment Company Examination Program |
| 2023-04-28 |
update person_title Richard R. Best: Division of Examinations; Acting Director of the Division of Examinations => Division of Examinations; Director of the Division of Examinations |
| 2023-04-28 |
update person_title Scott A. Thompson: Acting Co - Regional Director => Associate Regional Director ( Enforcement ); Named Associate Regional Director in Philadelphia Office |
| 2023-04-28 |
update person_title Thomas Piccone: Associate Regional Director ( Examinations ); Associate Regional Director ( Examinations ) Fort Worth Regional Office => Associate Regional Director ( Examinations ); Acting Co - Regional Director; Associate Regional Director ( Examinations ) Fort Worth Regional Office |
| 2023-04-28 |
update person_title Tina Diamantopoulos: Associate Regional Director, Broker Dealer and Exchange Examination Program / Associate Director of Clearance and Settlement Examination Program / Denver Regional Office => Associate Regional Director ( Examinations ); Associate Regional Director, Broker Dealer and Exchange Examination Program / Denver Regional Office |
| 2022-05-11 |
delete source_ip 142.250.179.243 |
| 2022-05-11 |
insert source_ip 142.250.180.19 |