About
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 9,000 ethics counseling matters for Commission officials and staff.
Contact the Office
202-551-5170OGE Standards of Ethical Conduct
The U.S. Office of Government Ethics oversees the ethics laws and regulations that apply to all executive branch employees.
SEC Rules of Conduct and Ethics
Regulation concerning the conduct of members and employees and former members and employees of the Commission.
Supplemental Standards of Ethical Conduct
Robust ethics requirements that govern the securities holdings and transactions of all SEC employees, their spouses, and minor children.
Post-Employment Information
The Ethics Office assists former SEC employees with their post-employment restrictions and clearances.
- Post-Employment Reference Guide
- Quick Reference Chart
- OGE Post-Employment Conflict of Interest Restrictions
- Acts Affecting a Personal Financial Interest
- Restrictions on Former Officers, Employees, and Elected Officials of the Executive and Legislative Branches
- Post-Employment Sample Letters
- Guidance Regarding Application of the Federal Post-Employment Conflict of Interest Laws when Providing an Expert Opinion in a Matter Pending Before the Commission