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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: Redacted (b)(4)
Issue: Issue involving Rule 204-2 under the Investment Advisers Act of 1940 and Rules 31a-1, 31a-2 and 31a-3 under the Investment Company Act of 1940. Specifically, I plan to send a draft no-action letter to the staff of the Division of Investment Management requesting no-action relief for registered investment advisers and investment companies that participate in two [Redacted (b)(4)] service and the [Redacted (b)(4)] service, so that [Redacted (b)(4)] can offer the investment advisers and investment companies using these two services the ability to satisfy their record keeping obligations under the Rules cited immediately above.
Date of Resignation: 02/28/07
Date of Statement: 10/29/08