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.
Directors
- Silvestre A. Fontes, Regional Director
- John Dugan, Associate Regional Director (Enforcement)
- Kevin Kelcourse, Associate Regional 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.