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U.S. Securities and Exchange Commission

SEC Names Senior Officials to Investor Education and Advocacy Efforts


Washington, D.C., Nov. 19, 2009 — The Securities and Exchange Commission today announced the appointments of three senior officials to its Office of Investor Education and Advocacy (OIEA) to help continue its increased focus on individual investors. OIEA serves the Commission as the "investors' office" and provides educational resources to help individual investors make informed financial decisions.

Mary S. Head, who recently served as Acting Director of OIEA, has been named Deputy Director of the office. Kathleen M. Floyd has been appointed Deputy Director of Investor Education, and Richard C. Ferlauto will become Deputy Director of Policy.

"We are working to further expand OIEA's ability to understand investors' concerns, provide effective educational programs, and advocate for investors' interests. Investors need our assistance now more than ever, and I am confident that our new team has the experience and the drive to make a difference," said Lori J. Schock, Director of OIEA. Ms. Schock was named OIEA Director in October.

Ms. Head has worked at the SEC since 2000, most recently as Assistant Director for Policy in OIEA. Ms. Head began her legal career in the Office of General Counsel at the National Association of Securities Dealers (now FINRA). She practiced securities law with Kelley Drye & Warren and later with Dechert LLP prior to joining the SEC staff. Ms. Head is a graduate of Yale College and Catholic University Law School.

Ms. Floyd comes to the SEC from the Securities Industry and Financial Markets Association (SIFMA) Foundation, where she was the Executive Director of the Stock Market Game. She previously served as Director of Baltimore Academies for Baltimore City Public Schools. In 2002, Ms. Floyd was named as one of Maryland's Top 100 Women. She is a graduate of Drew and George Washington Universities.

Richard C. Ferlauto joins the SEC from the American Federation of State County and Municipal Employees, where he has been Director, Corporate Governance and Public Pension Programs since 2002. Previously, he was Managing Director, Proxy Voter Services for Institutional Shareholder Services and Director of Policy for the Center for Policy Alternatives. Currently, Mr. Ferlauto is a member of the PCAOB Investor Advisory Committee and The Conference Board Taskforce on Executive Compensation. He has been named to the Directorship 100 as one of the most influential leaders in corporate governance for the past three years. Mr. Ferlauto is a graduate of Georgetown University.

OIEA has direct contact with tens of thousands of individual investors each year, hearing their needs, answering their questions and helping to solve their problems. Last month OIEA launched the Commission's first-ever Web site, www.investor.gov, devoted exclusively to investor education, providing investors of all ages with in-depth information and "top tips" on how to invest wisely, plan for the future, and avoid being scammed. The Office also works closely with the Commission's newly-formed Investor Advisory Committee to give investors a greater voice in the Commission's work.

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Modified: 11/19/2009