Almost four years after the Dodd-Frank Act was signed into law, the Securities and Exchange Commissioner has named Rick Fleming to head the recently created Office of the Investor Advocate (OIA).
Before moving into the new post, Fleming served as deputy general counsel at the North American Securities Administrators Association. In that job, he appeared before Congress and the SEC on behalf of state securities regulators. According to an SEC press release, Fleming spent 15 years working in the Office of the Securities Commissioner in Kansas prior to joining NASAA.
