The Boston Regional Office is responsible for enforcing violations of the federal securities laws and examining regulated entities such as investment advisers, investment companies, and broker-dealers.
The Boston office primarily conducts its enforcement or examination activities in Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island, and Vermont.
What's New
Leadership
- John Dugan—Associate Director (Enforcement)
- Kevin Kelcourse—Associate Director (Examinations)
Investor Outreach
The SEC's mission of protecting investors with a series of on-demand videos and archived presentations on a range of topics, including the basics of saving and investing, common investment scams, how to fight investment fraud, and more.