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Senior Officer – Regional Director

Securities and Exchange Commission


The Regional Director is responsible for the day-to-day oversight and administration of examination, investigation and litigation activities in the Boston Regional Office. Principal functions of this office include: inspection of broker-dealers, transfer agents, investment companies and investment advisers; investigation of possible violations of federal securities laws; trial of civil cases in United States District Courts and administrative proceedings before administrative law judges; interpretations regarding the application and meaning of Commission rules and regulations; and assistance to United States Attorneys in the prosecution of criminal cases.

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