The U.S. Securities and Exchange Commission (SEC) enforces federal securities laws.

The U.S. Securities and Exchange Commission, a.k.a. 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:

The SEC has two enforcement actions they can take to enforce/regulate.

  1. Civil Action
  2. 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 U.S. Securities and Exchange Commission 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


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