About
The Miami 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 Miami office primarily conducts its enforcement or examination activities in Florida, Louisiana, Mississippi, Puerto Rico, and the U.S. Virgin Islands.
Contact the Office
Request a speaker from the Miami office. You will receive a response to your request once it is reviewed. Thank you for your interest in the Miami Regional Office’s participation in your event.
801 Brickell Ave., Suite 1950, Miami , FL 33131