§ 200.11. Headquarters Office---Regional Office relationships.
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/us/cfr/t17/s§ 200.11·A research copy — for the controlling text, always check the official state or federal source. Not legal advice.
(a)(1) Division and Office Heads in the Headquarters Office (100 F Street, NE., Washington, DC 20549) have Commission-wide responsibility to the Commission for the overall development, policy and technical guidance, and policy direction of the operating programs under their jurisdiction.
(2)Each Regional Director is responsible for the direction and supervision of the Regional Director's work force and for the execution of all programs in the Regional Director's office's region as shown in paragraph
(b)of this section, in accordance with established policy, and reports, on enforcement matters, to the Director or Deputy Director of the Division of Enforcement who is responsible for Regional Office enforcement matters and, on examination matters, to the Director of the Division of Examinations.
(b)Regional Directors of the Commission. Atlanta Regional Office: Alabama, Georgia, North Carolina, South Carolina, and Tennessee---Regional Director, 950 East Paces Ferry Rd. NE, Suite 900, Atlanta, GA 30326-1382. Boston Regional Office: Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island, and Vermont---Regional Director, 33 Arch Street, 24th Floor, Boston, MA 02110-1424. Chicago Regional Office: Kentucky, Illinois, Indiana, Iowa, Michigan, Minnesota, Missouri, Ohio, and Wisconsin---Regional Director, 175 West Jackson Boulevard, Suite 1450, Chicago, IL 60604-2511. Denver Regional Office: Colorado, Kansas, Nebraska, New Mexico, North Dakota, South Dakota, Utah, and Wyoming---Regional Director, 1961 Stout Street, Suite 1700, Denver, CO 80294-1961. Fort Worth Regional Office: Arkansas, Kansas (for certain purposes), Oklahoma, and Texas---Regional Director, Burnett Plaza, Suite 1900, 801 Cherry Street, Unit \#18, Fort Worth, TX 76102-6819. Los Angeles Regional Office: Arizona, Southern California (zip codes 93599 and below, except 93200-93299), Guam, Hawaii, and Nevada---Regional Director, 444 South Flower Street, Suite 900, Los Angeles, CA 90071-2939. Miami Regional Office: Florida, Louisiana, Mississippi, Puerto Rico, and the Virgin Islands---Regional Director, 801 Brickell Avenue, Suite 1950, Miami, FL 33131-4901. New York Regional Office: New York and New Jersey---Regional Director, 100 Pearl Street, Suite 20-100, New York, NY 10004-2616. Philadelphia Regional Office: Delaware, District of Columbia, Maryland, Pennsylvania, Virginia, and West Virginia---Regional Director, 1617 John F. Kennedy Boulevard, Suite 520, Philadelphia, PA 19103-1805. San Francisco Regional Office: Alaska, Northern California (zip codes 93600 and up, plus 93200-93299), Idaho, Montana, Oregon, and Washington---Regional Director, 44 Montgomery Street, Suite 700, San Francisco, CA 94104-4619.
(c)The geographic allocation set forth in paragraph
(b)of this section determines where registered brokers, dealers, transfer agents, clearing agents, registered securities associations, investment advisers, and others as designated in this chapter must file reports required to be filed in regional offices. \[73 FR 32223, June 5, 2008, as amended at 86 FR 9441, Feb. 16, 2021; 89 FR 101468, Dec. 16, 2024\]
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§ 200.11
Headquarters Office---Regional Office relationships.
Fed. Reg.×1
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