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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

Norman M. Reed

View Letter

Former Division/Office: Trading and Markets
Former Regional Office: N/A
Former Title: Special Counsel
New Employer: Omgeo LLC
Represented Entity: Omgeo LLC
Issue: Issue involving Rule 17a-3 and 17a-4 under the Securities Exchange of 1934. Specifically, I would like to ask the staff for guidance about the possible application of these Exchange Act rules with regard to Omgeo offerings its customers a service that will permit them to take advantage of recent amendments to NYSE Rule 409 and NASD Rule 2340 permitting institutional customers with Delivery versus Payment/Receive versus Payment arrangements to elect not to receive quarterly account statements from broker-dealers
Date of Resignation: 02/28/07
Date of Statement: 08/10/07