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SEC makes three appointments

  • SEC (US Securities and Exchange Commission) Image

Feb 12, 2014

Today, the SEC announced the appointment of Rick A. Fleming as the first director of the Office of the Investor Advocate, Paul A. Leder as director of the Office of International Affairs, and David Fredrickson as associated director and chief counsel of the Division of Corporation Finance.

Mr. Fleming will lead the Office of the Investor Advocate, which was created by Section 915 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. In this role, Mr. Fleming will lead an office charged with assisting retail investors in interactions with the SEC and self-regulatory organizations. He will focus on promoting the interests of investors. Mr. Fleming will assume his new role on February 24, 2014.

Mr. Leder will advise the SEC on cross-border enforcement and regulatory issues and work with non-U.S. regulatory authorities on SEC matters.

Mr. Fredrickson will oversee the work of the Division of Corporation Finance’s Office of Chief Counsel and Office of Capital Markets Trends. It is expected that he will assume his new role in March.

For more information, see the following press releases on the SEC’s Web site:

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