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Concise Directory
| Toll-Free Consumer Information No. |
1-800-SEC-0330 |
| Investor Information and Complaints |
(202) 942-7040 |
| Filings By Registered Companies |
(202) 942-8090 |
| Forms and Publications |
(202) 942-4040 |
| Instant Information Recording |
(202) 942-8088 |
| Personnel Locator |
(202) 942-4150 |
| SEC Website |
http://www.sec.gov |
| For deaf/hard of hearing persons, please use relay service at 711 to make calls to any of the numbers listed above. |
|
| Commissioners |
Terms expire June 5 |
William H. Donaldson, Chairman
(202) 942-0100 |
2007 |
Paul S. Atkins
(202) 942-0700 |
2008 |
Roel C. Campos
(202) 942-0500 |
2005 |
Cynthia A. Glassman
(202) 942-0600 |
2006 |
Harvey J. Goldschmid
(202) 942-0800 |
2004 |
Principal Offices
|
Managing Executive for Policy and Staff
Patrick Von Bargen
(202) 942-0100
Managing Executive for Operations
Peter Derby
(202) 942-0100
Managing Executive for External Affairs
Laura Cox
(202) 942-0100
Office of the General Counsel
Giovanni P. Prezioso, General Counsel
(202) 942-0900
Office of Administrative Law Judges
Brenda P. Murray, Chief Administrative Law Judge
(202) 942-0399
Office of Administrative and Personnel Management
Jayne L. Seidman, Associate Executive Director
(Administration / Personnel)
(202) 942-4000
Office of the Chief Accountant
Donald T. Nicolaisen
(202) 942-4400
Office of Economic Analysis
Lawrence E. Harris, Chief Economist
(202) 942-8020
Office of Equal Employment Opportunity
Deborah K. Balducchi, Director
(202) 942-0040
Office of the Executive Director
James M. McConnell, Executive Director
(202) 942-4300
Office of Filings and Information Services
Kenneth A. Fogash, Associate Executive Director
(202) 942-8938
Office of Financial Management
Margaret J. Carpenter, Associate Executive Director
(Finance)
(202) 942-0340
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Division of Corporation Finance
Alan L. Beller, Director
(202) 942-2800
Division of Enforcement
Stephen M. Cutler, Director
(202) 942-4500
Division of Investment Management
Paul F. Roye, Director
(202) 942-0720
Division of Market Regulation
Annette L. Nazareth, Director
(202) 942-0090
Office of Compliance Inspections and Examinations
Lori A. Richards, Director
(202) 942-7400
Office of Freedom of Information and Privacy Act Operations
Barry D. Walters, FOIA Officer
(202) 942-4320
Office of Information Technology
R. Corey Booth
(202) 942-8800
Office of the Inspector General
Walter J. Stachnik, Inspector General
(202) 942-4461
Office of International Affairs
Ethiopis Tafara, Director
(202) 942-2770
Office of Investor Education and Assistance
Susan Ferris Wyderko, Director
(202) 942-7040
Office of Legislative Affairs
Jane O. Cobb, Director
(202) 942-0010
Office of Public Affairs
Matthew Well, Director
(202) 942-0020
Office of Risk Assessment
Charles Fishkin, Director
(202) 942-8696
Office of the Secretary
Jonathan G. Katz, Secretary
(202) 942-7070
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Historical Summary
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Served
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Chairman
|
| President |
Commissioner |
From |
To |
From |
To |
| |
|
|
|
|
|
| Roosevelt |
*Joseph P. Kennedy (D), Chairman |
7/2/34 |
9/23/35 |
7/2/34 |
9/23/35 |
| |
*George C. Mathews (R) |
7/2/34 |
4/15/40 |
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|
| |
*James L. Landis (D), Chairman |
7/2/34 |
9/15/37 |
9/23/35 |
9/15/37 |
| |
*Robert E. Healy (R) |
7/2/34 |
11/16/46 |
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|
| |
*Ferdinand Pecora (D) |
7/2/34 |
1/21/35 |
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|
| |
*J. D. Ross (D) |
10/5/35 |
10/31/37 |
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|
| |
*William O. Douglas (D), Chairman |
1/31/36 |
4/16/39 |
9/21/37 |
4/16/39 |
| |
*Jerome N. Frank (D), Chairman |
12/27/37 |
4/30/41 |
5/18/39 |
4/9/41 |
| |
*John W. Hanes (D) |
1/14/38 |
6/30/38 |
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|
| |
*Edward C. Eicher (D), Chairman |
12/3/38 |
2/2/42 |
4/9/41 |
1/20/42 |
| |
*Leon Henderson (D) |
5/18/39 |
7/8/41 |
|
|
| |
*Sumner T. Pike (R) |
6/4/40 |
4/30/46 |
|
|
| |
*Ganson Purcell (D), Chairman |
6/17/41 |
6/30/46 |
1/20/42 |
6/30/46 |
| |
*Edmund Burke, Jr. (D) |
7/31/41 |
10/19/43 |
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|
| |
*Robert H. O'Brien (D) |
2/3/42 |
12/28/44 |
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|
| |
*Robert K. McConnaughey (D) |
12/29/43 |
6/5/49 |
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|
| |
*James J. Caffrey (D), Chairman |
5/2/45 |
12/31/47 |
7/23/46 |
12/31/47 |
| Truman |
*Richard B. McEntire (R) |
6/4/46 |
5/31/53 |
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|
| |
*Edmond M. Hanrahan (D), Chairman |
7/22/46 |
11/3/49 |
5/18/48 |
11/3/49 |
| |
*Harry A. McDonald (R), Chairman |
3/26/47 |
2/25/52 |
11/4/49 |
2/25/52 |
| |
*Paul R. Rowen (D) |
5/28/48 |
6/5/55 |
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|
| |
*Donald C. Cook (D), Chairman |
11/1/49 |
6/17/53 |
2/26/52 |
6/17/53 |
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*Edward T. McCormick (D) |
11/4/49 |
3/31/51 |
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|
| |
* Robert I. Millonzi (D) |
7/17/51 |
6/5/52 |
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|
| |
*Clarence H. Adams (R) |
5/12/52 |
6/5/56 |
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|
| |
*J. Howard Rossbach (D) |
8/4/52 |
2/14/53 |
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| Eisenhower |
*Ralph H. Demmler (R), Chairman |
6/17/53 |
5/25/55 |
6/17/53 |
5/25/55 |
| |
*J. Sinclair Armstrong (R), Chairman |
7/16/53 |
6/27/57 |
5/25/55 |
6/27/57 |
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*A. J. Goodwin, Jr. (D) |
7/16/53 |
12/31/55 |
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|
| |
Andrew Downey Orrick (R) |
5/26/55 |
7/15/60 |
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|
| |
*Harold C. Patterson (D) |
8/5/55 |
11/29/60 |
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|
| |
*Earl F. Hastings (D) |
3/11/56 |
8/31/61 |
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|
| |
James C. Sargent (R) |
6/29/56 |
10/21/60 |
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|
| |
*Edward N. Gadsby (R), Chairman |
8/20/57 |
8/4/61 |
8/20/57 |
3/26/61 |
| |
*Byron D. Woodside (R) |
7/15/60 |
4/30/67 |
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|
| |
*Daniel J. McCauley, Jr. (R) |
10/24/60 |
3/26/61 |
|
|
| Kennedy |
*J. Allen Frear, Jr. (D) |
3/15/61 |
9/30/63 |
|
|
| |
*William L. Cary (D), Chairman |
3/27/61 |
8/21/64 |
3/27/61 |
8/20/64 |
| |
*Manuel F. Cohen (D), Chairman |
10/11/61 |
2/22/69 |
8/20/64 |
2/22/69 |
| |
*Jack M. Whitney II (R) |
11/9/61 |
6/15/64 |
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|
| Johnson |
*Hugh F. Owens (D) |
3/23/64 |
11/20/73 |
|
|
| |
*Hamer H. Budge (R), Chairman2 |
7/8/64 |
1/2/71 |
2/22/69 |
1/2/71 |
| |
*Francis M. Wheat (D) |
10/2/64 |
9/30/69 |
|
|
| |
*Richard B. Smith (R) |
5/1/67 |
7/30/71 |
|
|
| Nixon |
James J. Needham (R) |
7/10/69 |
7/14/72 |
|
|
| |
*A. Sydney Herlong (D) |
10/29/69 |
6/30/73 |
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|
| |
*William J. Casey (R), Chairman |
4/14/71 |
2/2/73 |
4/14/71 |
2/2/73 |
| |
* Philip A. Loomis, Jr. (R) |
8/13/71 |
6/18/82 |
|
|
| |
John R. Evans (R) |
3/3/73 |
12/2/83 |
|
|
| |
G. Bradford Cook (R), Chairman |
3/3/73 |
5/16/73 |
3/3/73 |
5/16/73 |
| |
*Ray Garrett, Jr. (R), Chairman |
8/6/73 |
10/28/75 |
8/6/73 |
10/28/75 |
| |
*A. A. Sommer, Jr. (D) |
8/6/73 |
4/2/76 |
|
|
| |
Irving M. Pollack (D) |
2/13/74 |
6/5/80 |
|
|
| Ford |
Roderick M. Hills (R), Chairman |
10/28/75 |
4/10/77 |
10/28/75 |
4/10/77 |
| Carter |
Harold M. Williams (D), Chairman |
4/21/77 |
3/1/81 |
4/21/77 |
3/1/81 |
| |
Roberta S. Karmel (D) |
9/30/77 |
2/1/80 |
|
|
| |
Stephen J. Friedman (D) |
4/14/80 |
6/5/81 |
|
|
| |
Barbara S. Thomas (D) |
10/21/80 |
11/11/83 |
|
|
| Reagan |
*John Shad (R), Chairman |
5/6/81 |
6/18/87 |
5/6/81 |
6/18/87 |
| |
Bevis Longstreth (D) |
7/29/81 |
1/13/84 |
|
|
| |
James C. Treadway, Jr. (R) |
9/13/82 |
4/17/85 |
|
|
| |
Charles C. Cox (R) |
12/2/83 |
9/30/89 |
|
|
| |
Charles L. Marinaccio (D) |
5/24/84 |
7/10/85 |
|
|
| |
Aulana L. Peters (D) |
6/11/84 |
7/8/88 |
|
|
| |
Joseph A. Grundfest (D) |
10/28/85 |
1/18/90 |
|
|
| |
Edward H. Fleischman (R) |
1/6/86 |
3/31/92 |
|
|
| |
David S. Ruder (R), Chairman |
8/7/87 |
9/30/89 |
8/7/87 |
9/30/89 |
| |
Mary L. Schapiro (I) |
12/5/88 |
10/13/94 |
|
|
| George Bush |
Richard C. Breeden (R), Chairman |
10/11/89 |
5/7/93 |
10/11/89 |
5/7/93 |
| |
Philip R. Lochner, Jr. (R) |
3/12/90 |
6/23/91 |
|
|
| |
Richard Y. Roberts (R), (D) when appointed |
10/1/90 |
7/15/95 |
|
|
| |
J. Carter Beese, Jr. (R) |
3/10/92 |
11/14/94 |
|
|
| Clinton |
Arthur Levitt (D), Chairman |
7/27/93 |
2/9/01 |
7/27/93 |
2/9/01 |
| |
Steven Wallman (D) |
7/5/94 |
10/2/97 |
|
|
| |
*Norman S. Johnson (R) |
2/13/96 |
5/10/00 |
|
|
| |
Isaac C. Hunt, Jr. (D) |
2/29/96 |
12/20/01 |
|
|
| |
*Paul R. Carey (D) |
11/3/97 |
6/14/01 |
|
|
| |
Laura S. Unger (R) |
11/5/97 |
1/25/02 |
|
|
| George W. Bush |
Harvey L. Pitt (R) |
8/3/01 |
2/17/03 |
8/3/01 |
2/17/03 |
| |
Isaac C. Hunt, Jr. (D) |
1/23/02 |
8/02/02 |
|
|
| |
Cynthia A. Glassman (R) |
1/28/02 |
|
|
|
| |
Harvey J. Goldschmid (D) |
7/31/02 |
|
|
|
| |
Paul S. Atkins (R) |
8/08/02 |
|
|
|
| |
Roel C. Campos (D) |
8/22/02 |
|
|
|
| |
William H. Donaldson (R) |
2/18/03 |
|
2/18/03 |
|
* deceased
2 On February 22, 1969, President Richard M. Nixon designated Hamer H. Budge as Chairman of the Commission.
Regional Offices
Region 1
Northeast Regional Office
The Woolworth Building
233 Broadway
New York, NY 10279
(646) 428-1500
Region: Connecticut, Delaware, District of Columbia, Maine, Maryland, Massachusetts, New Hampshire, New Jersey, New York, Pennsylvania, Rhode Island, Vermont, Virginia, and West Virginia
Boston District Office
Walter G. Ricciardi, District Administrator
73 Tremont Street
Suite 600
Boston, MA 02108-3912
(617) 573-8900
TTY (617) 424-5933
Philadelphia District Office
Arthur S. Gabinet, District Administrator
The Mellon Independence Center
701 Market Street
Philadelphia, PA 19106-1532
(215) 597-3100
TTY (215) 597-0687
Region 2
Southeast Regional Office
David Nelson, Regional Director
801 Brickell Ave., Suite 1800
Miami, FL 33131
(305) 982-6300
Region: Alabama, Florida, Georgia, Louisiana, Mississippi, North Carolina, Puerto Rico, South Carolina, Tennessee, and Virgin Islands
Atlanta District Office
Richard P. Wessel, District Administrator
3475 Lenox Road, N.E.
Suite 1000
Atlanta, GA 30326-1232
(404) 842-7600
TTY (404) 842-7676
Region 3
Midwest Regional Office
175 W. Jackson Boulevard
Suite 900
Chicago, IL 60604
(312) 353-7390
TTY (312) 886-6256
Region: Illinois, Indiana, Iowa, Kentucky, Michigan, Minnesota, Missouri, Ohio, and Wisconsin
Region 4
Central Regional Office
Randall J. Fons, Regional Director
1801 California Street
Suite 1500
Denver, CO 80202-2656
Voice/TTY (303) 844-1000
Region: Arkansas, Colorado, Kansas, Nebraska, New Mexico, North Dakota, Oklahoma, South Dakota, Texas, Utah, and Wyoming
Fort Worth District Office
Harold F. Degenhardt, District Administrator
801 Cherry Street
Suite 1900
Fort Worth, TX 76102
Voice/TTY (817) 978-3821
Salt Lake District Office
Kenneth D. Israel, Jr., District Administrator
15 W. South Temple Street
Suite 1800
Salt Lake City, UT 84101
Voice/TTY (801) 524-5796
Region 5
Pacific Regional Office
Randall R. Lee, Regional Director
5670 Wilshire Boulevard
Suite 1100
Los Angeles, CA 90036-3648
(323) 965-3998
TTY (323) 525-3631
Region: Alaska, Arizona, California, Guam, Hawaii, Idaho, Montana, Nevada, Oregon, and Washington
San Francisco District Office
Helane L. Morrison, District Administrator
44 Montgomery Street
Suite 1100
San Francisco, CA 94104
(415) 705-2500
TTY (415) 705-2517
http://www.sec.gov/about/concise.shtml
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