Securities and Exchange Commission (SEC)
The Securities and Exchange Commission (SEC) is a governmental body that regulates the public capital markets. Its stated mission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.
It was created in the aftermath of the stock market crash of 1929 which led to the passing of The Securities Act of 1933 and The Securities Exchange Act of 1934, legislation that created the SEC.
The Securities and Exchange Commission has five Commissioners who are appointed by the President of the United States with the advice and consent of the Senate. Their terms last five years and are staggered so that one Commissioner's term ends on June 5 of each year. To ensure that the Commission remains non-partisan, no more than three Commissioners may belong to the same political party. The President also designates one of the Commissioners as Chairman, the SEC's top executive.
Current SEC Commissioners:
Mary L. Shapiro - Chairman since 2009 Kathleen L. Casey - Commissioner since 2006 Elisse B. Walter - Commissioner since 2008 Luis A. Aguilar - Commissioner since 2008 Troy A. Paredes - Commissioner since 2008
SEC Headquarters: 100 F Street, NE Washington, DC 20549 (202) 942-8088 e-mail: firstname.lastname@example.org
New York Regional Office Mark Schonfeld, Regional Director 3 World Financial Center, Suite 400 New York, NY 10281-1022 (212) 336-1100 e-mail: email@example.com State jurisdiction: New York, New Jersey
Boston Regional Office David Bergers, Regional Director 33 Arch Street, 23rd Floor Boston, MA 02110-1424 (617) 573-8900 e-mail: firstname.lastname@example.org State jurisdiction: Connecticut, Maine, Massachusetts, New Hampshire, Vermont, Rhode Island
Philadelphia Regional Office Daniel M. Hawke, Regional Director The Mellon Independence Center 701 Market Street Philadelphia, PA 19106-1532 (215) 597-3100 e-mail: email@example.com State jurisdiction: Delaware, Maryland, Pennsylvania, Virginia, West Virginia, District of Columbia
Miami Regional Office David Nelson, Regional Director 801 Brickell Ave., Suite 1800 Miami, FL 33131 (305) 982-6300 e-mail: firstname.lastname@example.org State jurisdiction: Florida, Mississippi, Louisiana, US Virgin Islands, Puerto Rico
Atlanta Regional Office Katherine Addleman, Regional Director 3475 Lenox Road, N.E., Suite 1000 Atlanta, GA 30326-1232 (404) 842-7600 e-mail: email@example.com State jurisdiction: Georgia, North Carolina, South Carolina, Tennessee, Alabama
Chicago Regional Office Merri Jo Gillette, Regional Director 175 W. Jackson Boulevard Suite 900 Chicago, IL 60604 (312) 353-7390 e-mail: firstname.lastname@example.org State jurisdiction: Illinois, Indiana, Iowa, Kentucky, Michigan, Minnesota, Missouri, Ohio, Wisconsin
Denver Regional Office Donald Hoerl, Regional Director 1801 California Street, Suite 1500 Denver, CO 80202-2656 (303) 844-1000 e-mail: email@example.com State jurisdiction: Colorado, Kansas, Nebraska, New Mexico, North Dakota, South Dakota, Wyoming
Fort Worth Regional Office Rose L. Romero, Regional Director Burnett Plaza, Suite 1900 801 Cherry Street, Unit 18 Fort Worth, TX 76102 (817) 978-3821 e-mail: firstname.lastname@example.org State jurisdiction: Texas, Oklahoma, Arkansas, Kansas
Salt Lake Regional Office Kenneth D. Israel, Jr., Regional Director 15 W. South Temple Street Suite 1800 Salt Lake City, UT 84101 (801) 524-5796 e-mail: email@example.com State jurisdiction: Utah
Los Angeles Regional Office Rosalind Tyson, Regional Director 5670 Wilshire Boulevard, 11th Floor Los Angeles, CA 90036-3648 (323) 965-3998 e-mail: firstname.lastname@example.org State jurisdiction: Arizona, Hawaii, Guam, Nevada, Southern California (zip codes 93599 and below, except for 93200-93299)
San Francisco Regional Office Marc J. Fagel, Regional Director 44 Montgomery Street, Suite 2600 San Francisco, CA 94104 (415) 705-2500 e-mail: email@example.com State jurisdiction: Washington, Oregon, Alaska, Montana, Idaho, Northern California (zip codes 93600 and up plus 93200-93299)
Corporation Finance - Ensures investors are provided with all pertinent information in order to make investments decisions.
Enforcement - Investigates any violations of securities laws.
Investment Management - Regulates investement companies.
Trading and Markets - Establishes standards for fair and efficient markets. Regulate market participants such as broker dealers, stock exhanges and transfer agents.
SEC Offices (19):
Office of Administrative Law Judges
Office of Administrative Services
Office of the Chief Accountant
Office of Compliance Inspections and Examinations
Office of Economic Analysis
Office of Equal Employment Opportunity (EEO)
Office of the Executive Director
Office of Financial Management
Office of the General Counsel
Office of Human Resources
Office of Information Technology
Office of Inspector General
Office of Interactive Disclosure
Office of International Affairs
Office of Investor Education and Advocacy
Office of Legislative and Intergovernmental Affairs
Office of Public Affairs
Office of Risk Assessment
Office of the Secretary