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Office of the Regional Director 1000

Office of the Regional Director 1000. Office of Associate Regional Director- Broker/Dealer 2 1300. Office of Associate Regional Director- Broker/Dealer 1 1400. Office of Associate Regional Director- Enforcement 1600. Office of Associate Regional Director- Investment Mgmt. 1100.

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Office of the Regional Director 1000

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  1. Office of the Regional Director 1000 Office of Associate Regional Director- Broker/Dealer 2 1300 Office of Associate Regional Director- Broker/Dealer 1 1400 Office of Associate Regional Director- Enforcement 1600 Office of Associate Regional Director- Investment Mgmt. 1100 Branch of Administrative Services Office of Associate Regional Director- Enforcement 1500 Office of Associate Regional Director- Enforcement1 1800 Office of Associate Regional Director- Enforcement1 1700 Office of Assistant Regional Director- Broker/Dealer Office of Assistant Regional Director- Broker/Dealer Assistant Regional Director- Investigations Office of Assistant Regional Director- IC/IA Office of Assistant Regional Director- Enforcement Office of Assistant Regional Director- Enforcement1 Office of Assistant Regional Director- Enforcement1 Branches of BD Exam Branches of BD Exam Branches of Investigations Branches of Enforcement Branches of Enforcement Branches of Enforcement Branches of IC/IA Exams II-3

  2. Office of the Regional Director 1000 Office of Associate Regional Director- Broker/Dealer 2 1300 Office of Associate Regional Director- Broker/Dealer 1 1400 Office of Associate Regional Director- Enforcement 1600 Office of Associate Regional Director- Investment Mgmt. 1100 Branch of Administrative Services Office of Associate Regional Director- Enforcement 1500 Office of Associate Regional Director- Enforcement1 1800 Office of Associate Regional Director- Enforcement1 1700 IV - 2

  3. Office of the Regional Director 1000 Office of Associate Regional Director- Broker/Dealer 2 1300 Office of Associate Regional Director- Broker/Dealer 1 1400 Office of Associate Regional Director- Enforcement 1600 Office of Associate Regional Director- Investment Mgmt. 1100 Branch of Administrative Services Office of Associate Regional Director- Enforcement 1500 Office of Associate Regional Director- Enforcement1 1800 Office of Associate Regional Director- Enforcement1 1700 IV - 3

  4. Office of the Regional Director 1000 Office of Associate Regional Director- Broker/Dealer 2 1300 Office of Associate Regional Director- Broker/Dealer 1 1400 Office of Associate Regional Director- Enforcement 1600 Office of Associate Regional Director- Investment Mgmt. 1100 Branch of Administrative Services Office of Associate Regional Director- Enforcement 1500 Office of Associate Regional Director- Enforcement1 1800 Office of Associate Regional Director- Enforcement1 1700 IV - 6

  5. Office of Associate Regional Director Enforcement Assistant Regional Director Enforcement #3 Assistant Regional Director Enforcement #4 Assistant Regional Director Enforcement #6 Branch of Enforcement #2 Branch of Enforcement #9 Branch of Enforcement #11 Branch of Enforcement #7 Branch of Enforcement #10 Branch of Enforcement #12 Branch of Enforcement #13 IV - 8

  6. Office of Associate Regional Director Enforcement Assistant Regional Director Enforcement #3 Assistant Regional Director Enforcement #4 Assistant Regional Director Enforcement #6 Branch of Enforcement #2 Branch of Enforcement #9 Branch of Enforcement #11 Branch of Enforcement #7 Branch of Enforcement #10 Branch of Enforcement #12 Branch of Enforcement #13 IV - 10

  7. Office of Associate Regional Director Enforcement Assistant Regional Director Enforcement #3 Assistant Regional Director Enforcement #4 Assistant Regional Director Enforcement #6 Branch of Enforcement #2 Branch of Enforcement #9 Branch of Enforcement #11 Branch of Enforcement #7 Branch of Enforcement #10 Branch of Enforcement #12 Branch of Enforcement #13 IV - 12

  8. Office of the Regional Director 1000 Office of Associate Regional Director- Broker/Dealer 2 1300 Office of Associate Regional Director- Broker/Dealer 1 1400 Office of Associate Regional Director- Enforcement 1600 Office of Associate Regional Director- Investment Mgmt. 1100 Branch of Administrative Services Office of Associate Regional Director- Enforcement 1500 Office of Associate Regional Director- Enforcement1 1800 Office of Associate Regional Director- Enforcement1 1700 IV - 14

  9. Office of Associate Regional Director Enforcement #1 Assistant Regional Director Enforcement #1 Assistant Regional Director Enforcement #2 Assistant Regional Director Enforcement #5 Branch of Enforcement #3 Branch of Enforcement #1 Branch of Enforcement #6 Branch of Enforcement #4 Branch of Enforcement #5 Branch of Enforcement #8 IV - 16

  10. Office of Associate Regional Director Enforcement #1 Assistant Regional Director Enforcement #1 Assistant Regional Director Enforcement #2 Assistant Regional Director Enforcement #5 Branch of Enforcement #3 Branch of Enforcement #1 Branch of Enforcement #6 Branch of Enforcement #4 Branch of Enforcement #5 Branch of Enforcement #8 IV - 18

  11. Office of Associate Regional Director Enforcement #1 Assistant Regional Director Enforcement #1 Assistant Regional Director Enforcement #2 Assistant Regional Director Enforcement #5 Branch of Enforcement #3 Branch of Enforcement #1 Branch of Enforcement #6 Branch of Enforcement #4 Branch of Enforcement #5 Branch of Enforcement #8 IV - 20

  12. Office of the Regional Director Branch of Administrative Services Office of Associate Regional Director- Enforcement Office of Associate Regional Director- Enforcement1 Office of Associate Regional Director- Enforcement Office of Associate Regional Director- IC/IA Office of Associate Regional Director- Broker/Dealer Branch of Internet Enforcement IV - 22

  13. Office of Associate Regional Director Enforcement Assistant Regional Director Investigations Branch of Investigations #1 Branch of Investigations #2 Branch of Investigations#3 Branch of Investigations #4 Branch of Investigations #5 IV - 24

  14. Office of the Regional Director Branch of Administrative Services Office of Associate Regional Director- Enforcement Office of Associate Regional Director- Enforcement1 Office of Associate Regional Director- Enforcement Office of Associate Regional Director- IC/IA Office of Associate Regional Director- Broker/Dealer IV - 27

  15. Office of Associate Regional Director IC/IA Assistant Regional Director I.A. Exam. Assistant Regional Director I.C. Exam. #1 Assistant Regional Director I.C. Exam. #2 Branch of IA Examinations #1 Branch of IC Examinations #1 Branch of IC Examinations #4 Branch of IA Examinations #2 Branch of IC Examinations #2 Branch of IC Examinations #5 Branch of IA Examinations#3 Branch of IC Examinations #3 Branch of IC Examinations #6 Branch of IA Examinations #4 IV - 29

  16. Office of Associate Regional Director IC/IA Assistant Regional Director I.A. Exam. Assistant Regional Director I.C. Exam. #1 Assistant Regional Director I.C. Exam. #2 Branch of IA Examinations #1 Branch of IC Examinations #1 Branch of IC Examinations #4 Branch of IA Examinations #2 Branch of IC Examinations #2 Branch of IC Examinations #5 Branch of IA Examinations#3 Branch of IC Examinations #3 Branch of IC Examinations #6 Branch of IA Examinations #4 IV - 32

  17. Office of Associate Regional Director IC/IA Assistant Regional Director I.A. Exam. Assistant Regional Director I.C. Exam. #1 Assistant Regional Director I.C. Exam. #2 Branch of IA Examinations #1 Branch of IC Examinations #1 Branch of IC Examinations #4 Branch of IA Examinations #2 Branch of IC Examinations #2 Branch of IC Examinations #5 Branch of IA Examinations#3 Branch of IC Examinations #3 Branch of IC Examinations #6 Branch of IA Examinations #4 IV - 35

  18. Office of the Regional Director Branch of Administrative Services Office of Associate Regional Director- Enforcement Office of Associate Regional Director- Enforcement1 Office of Associate Regional Director- Enforcement Office of Associate Regional Director- IC/IA Office of Associate Regional Director- Broker/Dealer IV - 38

  19. Office of Associate Regional Director Broker/Dealer Assistant Regional Director B/D Exam. #1 Assistant Regional Director B/D Exam. #2 Assistant Regional Director BD Exam. #3 Assistant Regional Director BD Exam. #4 Branch of BD Examinations #2 Branch of BD Examinations #3 Branch of BD Examinations #6 Branch of BD Examinations #1 Branch of BD Examinations #4 Branch of BD Examinations #7 Branch of BD Examinations #9 Branch of BD Examinations #9 Branch of BD Examinations #8 IV - 40

  20. Office of Associate Regional Director Broker/Dealer Assistant Regional Director B/D Exam. #1 Assistant Regional Director B/D Exam. #2 Assistant Regional Director BD Exam. #3 Assistant Regional Director BD Exam. #4 Branch of BD Examinations #2 Branch of BD Examinations #3 Branch of BD Examinations #6 Branch of BD Examinations #1 Branch of BD Examinations #4 Branch of BD Examinations #7 Branch of BD Examinations #9 Branch of BD Examinations #9 Branch of BD Examinations #8 IV - 42

  21. Office of Associate Regional Director Broker/Dealer Assistant Regional Director B/D Exam. #1 Assistant Regional Director B/D Exam. #2 Assistant Regional Director BD Exam. #3 Assistant Regional Director BD Exam. #4 Branch of BD Examinations #2 Branch of BD Examinations #3 Branch of BD Examinations #6 Branch of BD Examinations #1 Branch of BD Examinations #4 Branch of BD Examinations #7 Branch of BD Examinations #9 Branch of BD Examinations #9 Branch of BD Examinations #8 IV - 45

  22. Office of Associate Regional Director Broker/Dealer Assistant Regional Director B/D Exam. #1 Assistant Regional Director B/D Exam. #2 Assistant Regional Director BD Exam. #3 Assistant Regional Director BD Exam. #4 Branch of BD Examinations #2 Branch of BD Examinations #3 Branch of BD Examinations #6 Branch of BD Examinations #1 Branch of BD Examinations #4 Branch of BD Examinations #7 Branch of BD Examinations #9 Branch of BD Examinations #9 Branch of BD Examinations #8 IV - 47

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