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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.

ANALYSIS: See POGO's reports, blog posts, and other work on the SEC revolving door
METHODOLOGY:
How POGO organized the information and assembled the database

Margaret E. Moore

View Letter

Former Division/Office: Compliance Inspections and Examinations
Former Regional Office: N/A
Former Title: Senior Counsel
New Employer: Financial Services Roundtable
Represented Entity: Financial Services Roundtable
Issue: Scheduled to meet with Chairman Christopher Cox on Friday, March 17, 2006 at 2:00 P.M. It is anticipated that only general SEC matters related to Roundtable members will be discussed. Specific items anticipated in discussion are as follows: 1. Good Start/Positive Mood Change at SEC (New Penalty Guidelines are helpful; good staff appointments [Redacted (b)(6)]; staff to clear subpoenas to press with Commissioners; market above 11,000 for first time since 9/11); 2. SEC Compliance and Reform Act (OCIE back into Market Regulation and Investment Management; sweep exams to require pre-approval from Commission; cannot require production of information not required by rules or regulations; Enforcement: provide notice of ongoing inquiry or investigation; notice of closure of inquiry or investigation; Ombudsman: allow registered entities to present questions or statements; maintain confidentiality; permit self-reporting with due credit); 3. Executive Compensation (great proposed rule, support increased disclosure; PROBLEM: requirement to list salaries of "three 'other'" highly compensated employees is anti-competitive, etc.); 4. Support Electronic Delivery of Proxy Materials (increases disclosure and saves money); 5. Primacy of SEC as Chief Securities Regulator; 6. Marching Orders
Date of Resignation: 01/13/06
Date of Statement: 03/13/06