Steven Peiken, the new co-head of enforcment, held as much as $9 million worth of stock and William Hinman, the SEC's director of corporate finance, represented big banks and technology companies.
VelocityShares Long LIBOR Exchange-Traded Notes and VelocityShares Short LIBOR ETNs track an index designed to mimic changes in the U.S. dollar-denominated London interbank offered rate (Libor).
Vanguard and other fund companies have pushed to pass several high-profile shareholder resolutions on climate risk at big energy firms like Exxon Mobil Corp and Occidental Petroleum Corp.
A total of 22 actively managed mutual funds and exchange-traded funds have more than 5 percent of their portfolios in the company, according to Morningstar data.
Rob Comfort was named president of CUNA Brokerage Services while Martin Powell was named VP of strategic account development and management.
UBS kept its place as the world's largest private bank, followed by Bank of America, Morgan Stanley and Wells Fargo.
The courts will wait until the Trump administration weighs in on the designation.