Notice of Representation Pursuant to SEC Conduct Rule 8(b)
Exchange Act Rule 8(b) [17 CFR 200.735-8(b)] states that any former member or employee of the Commission who, within two years after ceasing to be such, is employed or retained as the representative of any person outside the Government in any matter in which it is contemplated that he or she will appear before the Commission, or communicate with the Commission or its employees, shall within ten days of such retainer or employment (or of the time when appearance before, or communication with the Commission is first contemplated), file a statement with the Office of the Ethics Counsel, which includes all of the information specified by the rule.
A sample Rule 8(b) representation letter is available.
The letter must be submitted to the Office of the Ethics Counsel either in paper or electronic format and must contain contact information (including telephone number and email address). If electronic, the letter must be in PDF format and contain a manual signature, and be submitted using the form below:
Fields marked with an asterisk (*) are required.
The PDF file may not have active content. The size of the PDF file must be less than 7 MB.
Notices submitted in paper should be sent to:
U.S. Securities and Exchange Commission
Office of the Ethics Counsel
100 F Street, NE
Washington, DC 20549-9150
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 clearances required under Rule 8(b) prior to appearing before the Commission. Any former SEC employee is welcome to call the Ethics Officer, at 202-551-5170.