Previous SEC Positions:
Rick Fleming was named the SEC’s first Investor Advocate in February 2014.
Prior to joining the Commission, Mr. Fleming spent fifteen years as a state securities regulator, including more than a decade as General Counsel for the Office of the Kansas Securities Commissioner. He moved to Washington, D.C. in 2011 to serve as the Deputy General Counsel for the North American Securities Administrators Association (NASAA), where he advocated for investors and represented the organization of state securities regulators before Congress and federal agencies, including the SEC.
Mr. Fleming received his bachelor’s degree with a dual major in finance and economics from Washburn University and holds a law degree from Wake Forest University.