Securities Exchange Commission

Securities and Exchange Commission (SEC) - New York Regional Office

The Securities and Exchange Commission (SEC) New York Regional Office, located at 200 Vesey Street #400 in Downtown Manhattan, serves as a critical hub for the regulation and oversight of financial markets in one of the world’s most prominent financial centers. This office plays a pivotal role in ensuring transparency, fairness, and accountability within the securities industry, safeguarding investors, and maintaining trust in the U.S. financial system.

Overview of Services

The SEC’s New York Regional Office is responsible for enforcing federal securities laws, regulating securities markets, and protecting investors from fraudulent practices. It conducts investigations into potential violations of securities regulations, including insider trading, accounting fraud, and other forms of misconduct that could harm market integrity. The office also works closely with other government agencies and law enforcement to prosecute cases involving financial crimes.

In addition to enforcement activities, this regional office provides guidance to businesses on compliance with securities laws. It assists public companies, investment advisers, broker-dealers, and other market participants in understanding their legal obligations under federal regulations. By fostering compliance through education and outreach programs, the SEC aims to prevent violations before they occur.

Strategic Location

Situated in Downtown Manhattan at 200 Vesey Street within the bustling Financial District, this office is strategically positioned near Wall Street—the heart of global finance. Its proximity to major stock exchanges like the New York Stock Exchange (NYSE) allows it to maintain close ties with key players in the financial industry. This location underscores its importance as a frontline regulator in one of the busiest financial ecosystems worldwide.

Commitment to Investor Protection

A cornerstone of the SEC’s mission is protecting individual investors from fraudulent schemes or unethical practices by market participants. The New York Regional Office actively engages with investors through educational initiatives designed to empower them with knowledge about their rights and how to recognize potential scams. By prioritizing investor protection alongside market regulation, this office contributes significantly to maintaining confidence in U.S. capital markets.

Contact Information

The SEC New York Regional Office operates Monday through Friday until 5:00 PM. For inquiries or assistance related to securities regulations or reporting potential violations, individuals can contact the office directly at +1 212-336-1100.

This regional branch exemplifies the SEC’s dedication to upholding its core values—integrity, accountability, efficiency—and ensuring that America’s financial markets remain robust and trustworthy for all participants.

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