About the Office
The Office of the Ethics Counsel is responsible for advising and counseling all Commission employees and members on such issues as personal and financial conflicts of interest, securities holdings and transactions of Commission employees and their immediate families, gifts, seeking and negotiating other employment, outside activities, financial disclosure, and post-employment restrictions.
The Ethics Office also provides advice and action, on a normal or expedited basis, to all former SEC employees on post-employment restrictions as well as post-employment notices required under SEC Conduct Rule 8(b), 17 CFR 200.735-8(b), prior to appearing before the Commission.
The Ethics staff also drafts, comments on, and implements regulations concerning ethical conduct issues. The Ethics Office assists Presidential appointees with various aspects of financial disclosure to the Senate and the U.S. Office of Government Ethics in connection with the confirmation process. Annually, the Ethics Office handles approximately 2,000 ethics counseling matters for Commission officials and staff.
- Post-Employment Reference Guide – An Ethics Reminder (January 2016)
- Ethics Update: Change to Post-Employment Rules, Effective April 2, 2014
- OGE Post-Employment Conflict of Interest Restrictions, updated regulation, 5 C.F.R. PART 2641
- U.S. Office of Government Ethics: Post-Employment
- Substantive Post-Employment Prohibitions Applicable to Executive Branch Employees (2009)
- 18 U.S.C. § 207 Exceptions and Waivers: A Quick Reference Guide (2009)
- Key Elements for 18 U.S.C. §§ 207(a)(1), 207(a)(2), and 207(c) (2009)
- Post-Employment Sample Letters: Request to General Counsel for Waiver of Imputed Disqualification, 17 C.F.R. 200.735-8(d); and Notice to Secretary of Representation, 17 C.F.R. 200.735-8(b)
- Ethics Laws and Regulations
- Code of Federal Regulations: Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission
- Code of Federal Regulations: Securities and Exchange Commission Organization - Conduct And Ethics; And Information And Requests
Any former SEC employee is welcome to call the Ethics Officer, at 202-551-5170.