
The U.S. Securities and Exchange Commission (SEC) enforces federal securities laws.
The SEC is an independent agency of the U.S. government responsible for enforcing federal securities laws, proposing securities laws, regulating the securities industry and the nation’s stock and options exchanges.
The SEC was created by the Securities Exchange Act of 1934 and is responsible for enforcing/regulating:
- Securities Act of 1933
- Trust Indenture Act of 1939
- Investment Act of 1940
- Investment Advisers Act of 1940
- Sarbanes-Oxley Act of 2002
The SEC has two enforcement actions they can take to enforce/regulate.
- Civil Action
- Administrative Action
What is an SEC Administrative Proceeding?
The SEC HQ is located at:
SEC Headquarters
100 F Street, NE
Washington, DC 20549
List of SEC Regional Offices
The SEC accomplishes its responsibilities with the support of Regional Offices across the United States. They are located at:
Atlanta Regional Office
950 East Paces Ferry, N.E., Suite 900
Atlanta, GA 30326
+1 404-842-7600
Boston Regional Office
33 Arch Street, 23rd Floor
Boston, MA 02110
+1 617-573-8900
Chicago Regional Office
175 W. Jackson Boulevard, Suite 1450
Chicago, IL 60604
+1 312-353-7390
Denver Regional Office
1961 Stout Street, Suite 1700
Denver, CO 80294
+1 303-844-1000
Fort Worth Regional Office
801 Cherry Street, Suite 1900, Unit 18
Fort Worth, TX 76102
+1 817-978-3821
Los Angeles Regional Office
444 South Flower Street, Suite 900
Los Angeles, CA 90071
+1 323-965-3998
Miami Regional Office
801 Brickell Ave., Suite 1800
Miami, FL 33131
+1 305-982-6300
New York Regional Office
200 Vesey Street, Suite 400
New York, NY 10281
+1 212-336-1100
Philadelphia Regional Office
1617 JFK Boulevard, Suite 520
Philadelphia, PA 19103
+1 215-597-3100
Salt Lake Regional Office
351 S. West Temple St., Suite 6.100
Salt Lake City, UT 84101
+1 801-524-5796
San Francisco Regional Office
44 Montgomery Street, Suite 2800
San Francisco, CA 94104
+1 415-705-2500
External Links:
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