About the Office
The Office of Support Operations (OSO) provides a variety of services that support and enable efficient SEC operations. OSO is responsible for the processing of requests under the Freedom of Information and Privacy Acts, the management of all agency records in accordance with the Federal Records Act, maintaining the security and safety of all SEC facilities, as well as property and equipment management and overall building operations.
Primary Role of Each Team
The Office of FOIA Services (OFS) is responsible for receiving and responding to requests for non-public records under the Freedom of Information Act (FOIA, 5 USC 552) and the Privacy Act (5 USC 552a). For complete information on how to make a Freedom of Information Act request, please visit the FOIA web link.
Additionally, OFS responds to requests for public information which has not been published to the SEC website under the FOIA (5 USC 552(a)). These requests are routinely for older paper registration filings and other routine releases of the Commission which pre-date 1996. For complete information on requesting public documents, please see How to Request Public Documents.
The Office of Records Management Services (ORMS) develops, evaluates, and issues policies, procedures, records schedules, and systems that allow the agency to meet federal statutory and regulatory requirements. The work includes identifying, creating, authenticating, and managing active SEC records, as well as disposing of inactive records. ORMS also provides certified copies of SEC records supporting enforcement activities, other legal proceedings, and performs records management training for SEC staff.
The Office of Security Services (OSS) is responsible for all operations related to the security, safety, and emergency management of all SEC facilities and staff. OSS develops and maintains policies and procedures to implement security program principles and practices in accordance with Federal statutes and regulations.
The Office of Building Operations (OBO) provides a wide range of services and supports the SEC’s headquarters and eleven regional office locations. OBO oversees property and facilities management, office lease acquisition and administration, space renovation, transportation, printing and mail operations.
The Business Management Office (BMO) manages all business functions of the OSO organization, providing OSO offices with the resources and tools to plan, manage, and execute mission requirements. The BMO also manages the SEC’s Continuity of Operations Plan (COOP), enabling the continuity of SEC’s operations and essential functions across a spectrum of emergencies.
OSO Organizational Structure At-A-Glance
| Office of the Director | Olivier Girod, Director The OSO Director has been designated as the SEC’s Chief FOIA Officer and Senior Agency Official for Records Management. |
| Office of FOIA Services | Ray McInerney, Assistant Director and FOIA Officer
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| Office of Records Management Services | David B. Brown, Assistant Director and Archivist
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| Office of Security Services | Dean Hunter, Assistant Director
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| Office of Building Operations | Katherine Taylor, Assistant Director
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| Business Management Office | Barbara Shaffer-Roques, Assistant Director for Operations and Business Manager
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Modified: Dec. 15, 2021