FacultyFaculty/Author Profile

Richard M. Humes

U.S. Securities and Exchange Commission
Associate General Counsel, Office of General Counsel
Washington, DC, USA


Richard Humes

Richard Humes is Associate General Counsel for the Litigation and Administration Practice for the Securities and Exchange Commission. Mr. Humes has served with the Commission since 1977. He received the SEC Distinguished Service Award in 1991 and the Presidential Meritorious Executive Award in 1996. After passage of the Sarbanes-Oxley Act, Mr. Humes spearheaded the SEC team that promulgated ethical standards for attorneys who practice before the Commission on behalf of a public company. Before the 9th Circuit, Mr. Humes successfully argued for the SEC’s broad power under Sarbanes-Oxley to freeze “extraordinary payments” to company officers that are made when the Commission is investigating possible wrongdoing. Mr. Humes earned his B.A. from Brown University in 1973 and graduated cum laude from Howard University School of Law in 1976.

Richard M. Humes is associated with the following items:
Web Segment  Web Segment Not Your Father's Ethics Environment - Is There Increased Scrutiny of Lawyers? What is the Truth and What are the Consequences? - Securities Regulation Institute 2013 (45th Annual) , Friday, November 08, 2013
Judicial and Legislative Developments - The SEC Speaks in 2014 , Tuesday, February 25, 2014
Ethics - The SEC Speaks in 2014 , Tuesday, February 25, 2014
MP3 Audio  MP3 Audio 45th Annual Institute on Securities Regulation: Not Your Father's Ethics Environment - Is There Increased Scrutiny of Lawyers? What is the Truth and What are the Consequences? - Not Your Father's Ethics Environment - Is There Increased Scrutiny of Lawyers? What is the Truth and What are the Consequences? , Monday, November 11, 2013
The SEC Speaks in 2014: Judicial and Legislative Developments - Judicial and Legislative Developments , Thursday, February 27, 2014
The SEC Speaks in 2014: Ethics - Ethics , Thursday, February 27, 2014
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg 45th Annual Institute on Securities Regulation: Not Your Father's Ethics Environment - Is There Increased Scrutiny of Lawyers? What is the Truth and What are the Consequences? - Not Your Father's Ethics Environment - Is There Increased Scrutiny of Lawyers? What is the Truth and What are the Consequences? , Monday, November 11, 2013
The SEC Speaks in 2014: Judicial and Legislative Developments - Judicial and Legislative Developments , Thursday, February 27, 2014
The SEC Speaks in 2014: Ethics - Ethics , Thursday, February 27, 2014
On-Demand Web Programs  On-Demand Web Programs Securities Regulation Institute 2013 (45th Annual) , Friday, November 22, 2013 , New York, NY
The SEC Speaks in 2014 , Saturday, March 08, 2014 , Washington, DC
LiveSeminar  Live Seminar Securities Regulation Institute (45th Annual) , Wednesday, November 06, 2013 , New York, NY
The SEC Speaks in 2014 , Friday, February 21, 2014 , Washington, DC
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