About
The San Francisco 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 San Francisco office primarily conducts its enforcement or examination activities in Northern California as well as Alaska, Idaho, Montana, Oregon, and Washington.
What's New
Contact the Office
44 Montgomery Street, Suite 700, San Francisco, CA 94104
Leadership
- Jason Lee—Associate Director (Enforcement)
- Monique Winkler—Associate Director (Examinations)