Office of the Ethics Counsel

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.