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Rick Fleming leads advocacy efforts for AARP in his home state of Kansas on a wide range of topics affecting seniors, including Medicaid, transportation, and utilities regulation. Prior to this role, he served eight years as the first director of the Office of the Investor Advocate at the U.S. Securities and Exchange Commission. As the Investor Advocate, he built a new office charged with substantial statutory responsibilities, implementing a comprehensive strategic vision to achieve long-term stability and become a respected voice for investors. He provided formal and informal recommendations to the Commission, FINRA, MSRB, PCAOB, FASB, and the stock exchanges on a wide range of complex topics, including technical accounting and auditing rules, equity market structure, ESG, cybersecurity, digital assets/cryptocurrencies, capital raising alternatives, and the effectiveness of disclosures. He conducted outreach tours to a wide range of investors throughout the United States and established an innovative research program to understand the needs of investors and support evidence-based policymaking.Core competencies: Consumer and investor advocacy; executive leadership in a high-profile role; entrepreneurial vision; gifted communicator; diplomatic relationship builder; diversity champion; deep understanding of consumer and investor behavior and the challenges facing institutional investors; extraordinary breadth and depth of technical knowledge related to capital markets and regulation; intellectual agility to analyze complex facts and identify key issues; pragmatic problem solver.
Central Park Christian Church
View- Website:
- centralparkcc.org
- Employees:
- 6
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Lead PastorCentral Park Christian ChurchTopeka, Ks, Us
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Associate State Director - Advocacy And OutreachAarp Kansas Jan 2024 - PresentTopeka, Kansas, United StatesAdvocating for seniors on a wide range of policy issues.
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Former Sec Investor AdvocateFreelance Jul 2022 - Feb 2024Rick Fleming served eight years as the first director of the Office of the Investor Advocate at the U.S. Securities and Exchange Commission. As the Investor Advocate, he built a new office charged with substantial statutory responsibilities, implementing a comprehensive strategic vision to achieve long-term stability and become a respected voice for investors. He provided formal and informal recommendations to the Commission, FINRA, MSRB, PCAOB, FASB, and the stock exchanges on a wide range of complex topics, including technical accounting and auditing rules, equity market structure, ESG, cybersecurity, digital assets/cryptocurrencies, capital raising alternatives, and the effectiveness of disclosures. He conducted outreach tours to a wide range of investors throughout the United States and established an innovative research program to understand the needs of investors and support evidence-based policymaking.
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Investor AdvocateU.S. Securities And Exchange Commission Feb 2014 - Jul 2022Washington D.C. Metro Area -
Deputy General CounselNorth American Securities Administrators Association, Inc. (Nasaa) Oct 2011 - Jan 2014Washington D.C. Metro AreaProvide assistance and counsel to state securities regulators and staff; liaison to the Corporation Finance Section Committee, Enforcement Section Committee, and related project groups; advocate for NASAA policies in comment letters and amicus briefs; represent NASAA in meetings with Members of Congress and staff, SEC Commissioners and staff, FINRA, and other federal agencies; frequent speaker at NASAA training conferences and industry events. -
General CounselOffice Of The Kansas Securities Commissioner May 2001 - Oct 2011Topeka, KansasSupervised four staff attorneys and support personnel; regulated the sale of securities within the State of Kansas; represented the state in criminal, civil, and administrative litigation, including appeals; drafted legislation, regulations, and interpretive opinions; presented legislative testimony; frequent speaker at industry, investor education, and continuing legal education programs. Active at the national level through participation in the North American Securities Administrators Association (NASAA) as a long-time member of the NASAA Federal Legislation Committee, chairman of the Coordinated Interpretations Project Group, a member of the Privacy Project Group, and a drafter of questions for the Series 63, 65 and 66 qualifying examinations for investment advisers.
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Associate General CounselOffice Of The Kansas Securities Commissioner May 1996 - May 2001Topeka, KansasRepresented the state in disciplinary proceedings against broker-dealers and investment advisers; prosecuted criminal cases involving securities fraud and related crimes; reviewed public offerings of securities for compliance with blue sky law.
Rick Fleming Skills
Rick Fleming Education Details
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Finance & Economics
Frequently Asked Questions about Rick Fleming
What company does Rick Fleming work for?
Rick Fleming works for Central Park Christian Church
What is Rick Fleming's role at the current company?
Rick Fleming's current role is Lead Pastor.
What is Rick Fleming's email address?
Rick Fleming's email address is rf****@****sec.gov
What is Rick Fleming's direct phone number?
Rick Fleming's direct phone number is +157176*****
What schools did Rick Fleming attend?
Rick Fleming attended Wake Forest University School Of Law, Washburn University.
What skills is Rick Fleming known for?
Rick Fleming has skills like Securities Regulation, Securities, Litigation, Legal Writing, Corporate Governance, Corporate Law, Legal Research, Administrative Law, Civil Litigation, Finra, Public Speaking, Legislation.
Who are Rick Fleming's colleagues?
Rick Fleming's colleagues are Linda Bohlender, Roy Sutton.
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