Each entry in POGO’s SEC Revolving Door Database represents one post-employment disclosure statement notifying the SEC of a former employee’s intent to represent an employer or client before the agency. Some employees have filed multiple statements.
Former Division/Office: Trading and Markets
Former Regional Office: N/A
Former Title: Special Counsel
New Employer: National Association of Securities Dealers, Inc.
Represented Entity: National Association of Securities Dealers, Inc.
Issue: Rule filings regarding NASD Rule 2340 ("Customer Account Statements")
Date of Resignation: 06/01/02
Date of Statement: 03/11/03