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Financial Regulatory Agencies
Related Resources (government documents and letters)
POGO Files
Groups Oppose Legislation to Gut SEC and CFTC Whistleblower Programs
December 12, 2011
POGO and Allies Oppose Bill That Would Hobble SEC
November 14, 2011
Three Takeaway Lessons from the GAO Audit of the Federal Reserve
October 4, 2011
POGO letter regarding legislative proposals to reform the Securities and Exchange Commission
September 14, 2011
POGO letter opposing legislative proposal to create a self-regulatory organization for investment advisers
September 13, 2011
Galleon Insider Trading Case Raises Questions about SEC-DOJ Coordination and Unprosecuted Cases
June 23, 2011
Allegations Federal Officials Aided Wall Street Short Sellers Spurs Inspector General Inquiry
June 13, 2011
The SEC’s revolving door
June 10, 2011
Groups Oppose Measures to Repeal Dodd-Frank Financial Reform and Weaken Consumer Protection Agency
June 8, 2011
Watchdog Raises Questions about SEC's Oversight of Former Employees Who Go through the Revolving Door
June 1, 2011
POGO Joins Groups Calling for Public Access to Complaint Database at Consumer Financial Protection Bureau
May 25, 2011
Industry Proposals Would Gut Wall Street Whistleblower Programs, Undermine SEC, CFTC Investigations
May 24, 2011
Podcast: They Say They Want a Revolution: More Than 200 Former SEC Employees Passed through Revolving Door to Work for the Industry They Oversaw POGO staffers discuss POGO's latest report and accompanying database examining the issue of the revolving door and the Securities and Exchange Commission (SEC).
May 23, 2011
Revolving Regulators: SEC Faces Ethics Challenges with Revolving Door As part of an effort to shed light on the revolving door at the Securities and Exchange Commission (SEC), and to examine whether the SEC has adequate policies and procedures in place to detect and mitigate conflicts of interest involving former SEC employees, POGO has obtained five years' worth of statements filed by former SEC employees who appeared before the SEC seeking to represent outside clients within two years after leaving the agency. POGO has also made these post-employment statements publicly available in a searchable online database. This report provides an overview of the information disclosed in these statements, and examines the SEC's oversight of former employees who go through the revolving door.
May 13, 2011
Revolving Regulators: SEC Faces Ethic Challenges with Revolving Door As part of an effort to shed light on the revolving door at the Securities and Exchange Commission (SEC), and to examine whether the SEC has adequate policies and procedures in place to detect and mitigate conflicts of interest involving former SEC employees, POGO has obtained five years' worth of statements filed by former SEC employees who appeared before the SEC seeking to represent outside clients within two years after leaving the agency. POGO has also made these post-employment statements publicly available in a searchable online database. This report provides an overview of the information disclosed in these statements, and examines the SEC's oversight of former employees who go through the revolving door.
May 13, 2011
POGO Joins Launch Letter of the Financial Accountability and Corporate Transparency (FACT) Campaign
April 11, 2011
SEC Failing to Hold Employees Accountable for Wrongdoing
March 9, 2011
POGO Letter to SEC Chairman Mary Schapiro Regarding Inspector General Recommendations for Disciplinary Action
March 8, 2011
These Are the Investigative Reports the SEC Doesn’t Want You to See
January 20, 2011
POGO's public comment regarding the SEC's whistleblower award program
December 17, 2010
POGO letter to FINRA calling for open Board meetings
December 8, 2010
New Report Discloses Recent Investigations by SEC Inspector General
December 1, 2010
The Case of the Missing Inspector General Reports
November 3, 2010
Obama Signs SEC Secrecy Repeal into Law
October 5, 2010
Congress Repeals SEC Secrecy Provision in Dodd-Frank
September 23, 2010
Senate Unanimously Approves Repeal of SEC Secrecy Provision
September 22, 2010
U.S. Chamber of Commerce Selling SEC Secrecy
September 21, 2010
Senate Judiciary Committee Unanimously Approves Legislation to Strike SECrecy Measure
September 17, 2010
POGO Testifies on SEC Secrecy Provision
September 15, 2010
Rep. Issa Challenges SEC on FOIA Exemptions
August 9, 2010
Groups Challenge SEC Chair Schapiro’s Claims on Secrecy
August 3, 2010
Groups Call on Congress to Remove SEC Secrecy Measure
August 3, 2010
Did Congress Just Exempt the SEC from FOIA?
July 29, 2010
Financial Reform, Part Two: Return of the Regulators
July 27, 2010
POGO Recommended Transparency and Accountability Measures in the Dodd-Frank Wall Street Reform and Consumer Protection Act
July 15, 2010
A Win for Transparency in Financial Reform
June 18, 2010
Nine Essential Transparency and Accountability Measures for Financial Reform Legislation
June 9, 2010
Groups Urge Financial Regulatory Conferees to Ensure Public Access to Disclosures on Financial Fraud
June 2, 2010
POGO letter in support of Grassley amendment to strengthen inspector general independence
May 13, 2010
POGO letter in support of McCaskill amendment to improve coordination between financial agency inspectors general
May 13, 2010
Letter in support of Grassley amendment to expose and slow the revolving door at financial regulatory agencies
May 13, 2010
Groups Urge Lawmakers to Ensure Public Access to Whistleblower Disclosures on Financial Fraud
May 11, 2010
POGO's Guide to the FinReg Debate
May 4, 2010
SEC Takes on the Vampire Squid
April 16, 2010
Departing FINRA Executive to Join Other Former Enforcement Officials at Bingham McCutchen
April 12, 2010
Not Much Bounty for SEC Whistleblower Program
April 5, 2010
The SEC at Its Worst
March 23, 2010
FINRA's Enforcement Chief to Step Down
March 18, 2010
Sen. Dodd Releases Financial Regulatory Bill
March 15, 2010
POGO Calls for Increased Oversight of Financial Self-Regulators
February 23, 2010
POGO letter to Congress calling for increased oversight of financial self-regulators
February 23, 2010
Former SEC Lawyer Running for Congress Dimed Out Whistleblower
January 28, 2010
POGO Urges Senate to Close Derivatives Loopholes
January 19, 2010
POGO letter to SEC Chairman Mary Schapiro regarding loopholes in proposed rule to increase transparency for troubled assets
December 18, 2009
POGO Charges SEC Failed to Implement over 200 IG Recommendations
December 16, 2009
POGO letter to SEC Chairman Mary Schapiro regarding the SEC's failure to act on hundreds of Inspector General recommendations
December 16, 2009
POGO Objects to Derivatives Loophole
December 3, 2009
POGO opposes loophole in derivatives overhaul legislation
December 3, 2009
Will the House Stand Up for Greater Bailout Transparency?
November 18, 2009
BlackRock to the Rescue (Again)
October 8, 2009
Related Resources
The Federal Deposit Insurance Corporation (FDIC): Efforts to Support Financial and Housing Markets
, Congressional Research Service (R40413)
March 27, 2009
Inspectors General: Independent Oversight of Financial Regulatory Agencies
, Government Accountability Office (GAO-09-524T)
March 25, 2009
Systemic Risk: Regulatory Oversight and Recent Initiatives to Address Risk Posed by Credit Default Swaps
, Government Accountability Office
March 5, 2009
Who Regulates Whom? An Overview of U.S. Financial Supervision
, Congressional Research Service (R40249)
February 24, 2009
Causes of the Financial Crisis
by Mark Jickling, Congressional Research Service (R40173)
January 29, 2009
POGO in the News
Whistleblower bill draws lobbying, Andrew Joseph with The National Journal, Government Executive (govexec.com), January 10, 2012
UPDATE 3-US SEC accuses FINRA of altering internal documents, Sarah N. Lynch and Suzanne Barlyn, Reuters, October 27, 2011
Opinion: FINRA Is an Ineffective Regulator, Andrew J. Haigney, Registered Rep, October 6, 2011
In the Dark? Probing the SEC's Probes, With Marc Fisher sitting in for Kojo, The Kojo Nnamdi Show; WAMU , August 30, 2011
Madoff probe figure gets cash reward, Jim McElhatton, The Washington Times, August 3, 2011
Revolving Door at S.E.C. Is Hurdle to Crisis Cleanup, Andrew Ross Sorkin, The New York Times, August 1, 2011
Grassley Questions Education Agency’s Ties to Hedge Funds, Ben Protess, The New York Times; DealBook, July 28, 2011
Small Banks Pay Back Treasury Loans with Money from New Treasury Loans, Daniel Gross, Allgov.com, July 23, 2011
SEC Lawyer Leaves To Help Whistleblowers, Samuel Rubenfeld, The Wall Street Journal, July 12, 2011
Investors May Lose as Congress Saves Money on Adviser Oversight, Alexis Leondis and Zeke Faux, Bloomberg, June 28, 2011
Wall Street watchdog flunks review, Shirley Gao; Center for Public Integrity, Tucscon Sentinel.com, June 19, 2011
SEC and FINRA “Accountability Is Impossible Without Transparency”, Larry Doyle, Sense on Cents, June 17, 2011
Education Department Officials Accused Of Leaking Info To Short-Sellers , Marcus Baram, The Huffington Post, June 13, 2011
Audit to determine whether college reg was leaked to Wall Street, Peter Schroeder, The Hill, June 13, 2011
Blame Grover Norquist for Dismantling Financial Services Reform, Democracy, Jane White, The Huffington Post, June 7, 2011
Revolving door ensures that some people have a job, Timothy Lange aka Meteor Blades, Daily Kos, June 3, 2011
7 Ex-Politicians Who Are Now On Wall Street, Samuel Ro, The Fiscal Times, Business Insider, June 2, 2011
Incest: The SEC and Wall Street, Don Bauder, San Diego Reader, June 1, 2011
Judd Gregg, Goldman’s New International Man Of Mystery, Chris Frates, POLITICO, May 31, 2011
Get to the bottom of SEC mess, Opinion Piece, Daily World, May 22, 2011
Rules for Employees, Including Its Own, Put S.E.C. on Hot Seat, Peter J. Henning, New York Times; Dealbook, May 17, 2011
UPDATE 1-FBI probing ex-SEC official on Stanford matter, Sarah N. Lynch, Reuters, May 13, 2011
SEC's revolving door to Wall Street gets fresh scrutiny, Tim Reid, Reuters, May 13, 2011
Ex-SEC employees enjoy 'revolving door,' study says, Charles S. Clark, Government Executive, May 13, 2011
New Study Casts Light On SEC 'Revolving Door' Claims, Jessica Holzer, Dow Jones Newswires, NASDAQ, May 13, 2011
Banks Push Consumer Bureau to Keep U.S. Complaint Line Private, Carter Dougherty, Bloomberg, May 13, 2011
Former S.E.C. Official Said to Be Subject of Criminal Inquiry, Edward Wyatt, The New York Times, May 13, 2011
Citing Revolving Door, Watchdog Report Questions SEC's Independence , Brian Baxter, The AM LAW Daily, May 13, 2011
Critics slam SEC's ‘revolving door', Mark Schoeff Jr., Investment News, May 13, 2011
What’s Really Going On At The SEC?, By Larry Doyle, Business Insider, March 10, 2011
Watchdog: SEC ignores misconduct, By Chris Frates, POLITICO, March 9, 2011
Group says discipline relaxed at SEC, , Polijam.com, March 9, 2011
David M. Becker declines to testify, not subpoenaed to House Committee hearing related to SEC, By Wayne Coffey and Nathaniel Vinton, NY Daily News, March 8, 2011
SEC’s FCPA Chief Leaves For Simpson Thacher, Samuel Rubenfeld, The Wall Street Journal, March 1, 2011
SEC transparency faulted by watchdog group, By Charles S. Clark, Government Executive, January 21, 2011
US Rep. Issa Calls For Dismissals Of Problem Employees At SEC, By Jessica Holzer, The Wall Street Journal; Dow Jones Newswires, January 21, 2011
Pequot Insider Trading Case Drags On, By Azam Ahmed and Ben Protess, The New York Times, December 23, 2010
Groups face off over proposed whistle-blower rules, By Dan Jamieson, Investment News, December 21, 2010
News Digest: Watchdog calls on SEC to put reports online, , Federal Times, November 7, 2010
POGO: The Case of the Missing Inspector General Reports, By POGO's Michael Smallberg, Nieman Watchdog, November 4, 2010
Congress repeals SEC exemption from FOIA, By Silla Brush, The Hill, September 23, 2010
The Senate Repeals a Piece Of Financial-Overhaul Law, By Jessica Holzer, Wall Street Journal, September 23, 2010
Repeal of FOIA exemption for SEC passes both houses of Congress, BusinessJournalism.org Staff, Reynolds Center, September 23, 2010
Tough questions for SEC's Mary Schapiro, By Zach Goldfarb, The Washington Post, Market Cop, July 20, 2010
When National Politics and Home-State Economics Collide, By Rob Silverblatt, U.S. News and World Report, June 24, 2010
U.S. Sen. Grassley: Works for stronger oversight of government regulators, Senator Charles Grassley's (R-IA) Press Office, IowaPolitics.com, May 19, 2010
Senate Votes for IG Independence, By Tom Shoop, Government Executive.com; Fedblog, May 18, 2010
Barofsky Says Criminal Charges Possible in Alleged AIG Coverup, By Bloomberg News, Editors: Michael Serrill, Beth Williams, San Francisco Chronicle, April 27, 2010
Finra, First Heal Thyself , By Jim McTague, Barrons.com, March 8, 2010
Watchdog slams Finra's ‘abysmal' record, By Dan Jamieson, Investment News.com, February 24, 2010
Watchdog Blasts Private Financial Regulators, By Andy Kroll, Mother Jones, February 23, 2010
Watchdog Group Warns Congress About Wall Street Oversight, By Shahien Nasiripour, Huffington Post, February 23, 2010
Government Watchdog Warns Against Oversight Agency Expansion, By Megan Carpentier, The Washington Independent, February 23, 2010
Long Island Congressional Candidate Cited for Giving Up JP Morgan Whistleblower, By Michael Smallberg & Adam Zagorin, Politics Daily, January 28, 2010
SEC, Battered By Madoff, Yet To Implement Many Recommendations For Improvement, By Zachary Roth, TPMuckraker.com, December 17, 2009
Group Alleges Slack SEC Response To Internal Watchdog, By Fawn Johnson, Nasdaq; Dow Jones Newswires, December 17, 2009
Group: SEC ices staff probes, By Eamon Javers, Politico, December 17, 2009
Watching the Finance Lobby at Work, By Kevin Drum, Mother Jones, December 10, 2009
The Problem With Derivatives, By Nick Baumann, Mother Jones, December 8, 2009
Non-Profit Says It Sees Loophole In US House Ag Swaps Bill, By Sarah N. Lynch, Dow Jones Newswires, December 7, 2009
A Big Derivatives Loophole?, By Nick Baumann, Mother Jones, December 3, 2009
Insurers seek securities re-evaluation, , The Deal (online); Dealscape, October 8, 2009
Who Defines Derivatives?, By Lawrence Delvingne, The Business Insider: The Money Game , August 14, 2009
