Securities and Exchange Commission



100 F Street NE., Washington, DC 20549

Phone, 202-551-7500. Internet,

Chairman Christopher Cox

Commissioners Paul Atkins, Roel Campos, Cynthia Glassman, Annette L. Nazareth

Senior Advisers to the Chairman Peter Uhlmann, Paul Wilkinson, Benedict S. Cohen

Director, Office of Legislative Jane Cobb


Director, Office of Public Affairs John Nester

Director, Office of Investor Susan Ferris-Wyderko

Education and Assistance

Secretary Nancy M. Morris

Executive Director James M. McConnell

Associate Executive Director, Office Jeffrey Risinger

of Human Resources

Associate Executive Director, Office Anne O'Donoghue

of Administrative Services

Associate Executive Director, Office Margaret J. Carpenter

of Financial Management

Associate Executive Director, Office Kenneth A. Fogash

of Filings and Information Services

General Counsel Brian G. Cartwright

Director, Division of Corporation Finance John W. White

Director, Division of Enforcement Linda Chatman Thomsen

Director, Division of Investment Management Andrew Donohue

Director, Division of Market Regulation (vacancy)

Director, Office of Compliance Inspections and Lori A. Richards


Chief Accountant (vacancy)

Chief Administrative Law Judge Brenda P. Murray

Chief Economist Chester Spatt

Chief Information Officer, Office of Information R. Corey Booth


Director, Office of International Affairs Ethiopis Tafara

Director, Office of Equal Employment Opportunity Deborah K. Balducchi

Director, Office of Risk Assessment Charles Fishkin

Inspector General Walter J. Stachnik


The Securities and Exchange Commission administers Federal securities laws that seek to provide protection for investors; to ensure that securities markets are fair and honest; and, when necessary, to provide the means to enforce securities laws through sanctions.

The Securities and Exchange Commission (SEC) was created under authority of the Securities Exchange Act of 1934 (15 U.S.C. 78a-78jj) and was organized on July 2, 1934. The Commission serves as adviser to United States district courts in connection with reorganization proceedings for debtor corporations in which there is a substantial public interest. The Commission also has certain responsibilities under section 15 of the Bretton Woods Agreements Act of 1945 (22 U.S.C. 286k-1) and section

851(e) of the Internal Revenue Code of 1954 (26 U.S.C. 851(e)).

The Commission is vested with quasi-judicial functions. Persons aggrieved by its decisions in the exercise of those functions have a right of review by the United States courts of appeals.


Full and Fair Disclosure The Securities Act of 1933 (15 U.S.C. 77a) requires issuers of securities and their controlling persons making public offerings of securities in interstate commerce or through the mail to file with the Commission registration statements containing financial...

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