United States Government Accountability Office GAO November 2011 _part3 pot

Management’s Discussion and Analysis Page 21 GAO-12-219 SEC’s Financial Statements for Fiscal Years 2011 and 2010 HI SEC Headquarters New York Regional Office New York, New Jersey Boston Regional Office Connecticut, Maine, Massachusetts, New Hampshire, Vermont, Rhode Island Philadelphia Regional Office Delaware, Maryland, Pennsylvania, Virginia, West Virginia, District of Columbia Miami Regional Office Florida, Mississippi, Louisiana, U.S. Virgin Islands, Puerto Rico Atlanta Regional Office Georgia, North Carolina, South Carolina, Tennessee, Alabama Chicago Regional Office Illinois, Indiana, Iowa, Kentucky, Michigan, Minnesota, Missouri, Ohio, Wisconsin Denver Regional Office Colorado, Kansas, Nebraska, New Mexico, North Dakota, South Dakota, Wyoming Fort Worth Regional Office Texas, Oklahoma, Arkansas, Kansas (except for the exam program which is administered by the Denver Regional Office) Salt Lake Regional Office Utah Los Angeles Regional Office Arizona, Hawaii, Guam, Nevada, Southern California (zip codes 93599 and below, except for 93200-93299) San Francisco Regional Office Washington, Oregon, Alaska, Montana, Idaho, Northern California (zip codes 93600 and up, plus 93200-93299) WA ND UT SD NE IA NV AZ OK AR KY IL WI MI NJ MT WY NM IN DC OH MA RI ID CO MD MN MO KS NY ME VT NH CT DE TN PR Southern CA SEC HEADQUARTERS AND REGIONAL OFFICE LOCATIONS CHART 1.1 Organizational Structure and Resources 8 2011 PERFORMANCE AND ACCOUNTABILITY REPORT MANAGEMENT’S DISCUSSION AND ANALYSIS SEC Of ce Locations The SEC’s headquarters are in Washington, D.C., and it has 11 regional of ces located throughout the country. The regional of ces are responsible for investigating and litigating potential violations of the securities laws. The of ces also have examination staff, who impact regulated entities such as investment advisers, investment companies and broker-dealers. The map below shows the locations of the regional of ces, and the states that are included in each region. I HI SEC Head q uarter s N e w Y ork Regional Office YY New Y ork, New Jersey Y Y B oston Regional O ffic e Connecticut, Maine, Massachusetts, New Hampshire, V e rmont, Rhode Islan d V V P hiladelphia Regional O ffic e Delaware, Maryland, Pennsylvania, V irginia, W V V es t V W W irginia, District of Columbia V V M iami Regional Office Florida, Mississippi, Louisiana, U.S. V irgin Islands, Puerto Rico V V Atlanta Re g ional Offic e Georgia, North Carolina, South Carolina, T e nnessee, Al a b am a T T C hica g o Re g ional Office Illi no i s, I n di ana, I owa, K entuc ky , Michigan, Minnesota, Missouri, Ohio, Wisconsin y y Denver Re g ional O ffice C olorado, Kansas, Nebraska, New Mexico, North Dakota, S outh Dakota, Wyomin g Fo rt W orth Re g ional O ffice Te xas, Oklahoma, Arkansas, Kansas (except for the exam program which is administered by the Denver Regional Office) e e S alt Lake Regional O ffice U ta h L os Angeles Regional O ffic e Arizona, Hawaii, Guam, Nevada, Southern California (zip codes 93599 and below , except for 93200-93299) w w S an Francisco Regional O ffice Wa shington, Oregon, Alaska, Montana, Idaho, Northern California (zip codes 93600 and up, plus 93200-93299 ) 9 W A ND UT SD NE I A N V AZ O K AR KY IL WI M I NJ MT WY NM IN D C OH MA RI I D CO MD MN M O KSKS NY ME VT NH CT D E TN P R thern S So ut So CA E AD Q U AR S EC H E T ERS AND REGIONAL OFFICE LOC A TIONS A A C HART 1. 1 Or g anizational Structure and Resource s 8 2 0 11 PERF O RMAN C E AND A CCOU NTABILITY REP O R T M ANA G EMENT’ S DI SCUSS I O N AND ANALY S I S S E C O f ce L oca ti o n s T he SEC’s headquarters are in Washin g ton, D.C., and it has 11 re g ional of ces located throu g hout the country. The re g ional o f ces are responsible for investi g atin g and liti g atin g potential violations of the securities laws. The of ces also have examination s taff, who impact re g ulated entities such as investment advisers, investment companies and broker-dealers. The map below s hows the locations of the re g ional of ces, and the states that are included in each re g ion. This is trial version www.adultpdf.com . Analysis Page 21 GAO- 12-219 SEC’s Financial Statements for Fiscal Years 2011 and 2010 HI SEC Headquarters New York Regional Office New York, New Jersey Boston Regional Office Connecticut,. Regional Office Texas, Oklahoma, Arkansas, Kansas (except for the exam program which is administered by the Denver Regional Office) Salt Lake Regional Office Utah Los Angeles Regional Office Arizona,. Regional Office Georgia, North Carolina, South Carolina, Tennessee, Alabama Chicago Regional Office Illinois, Indiana, Iowa, Kentucky, Michigan, Minnesota, Missouri, Ohio, Wisconsin Denver Regional Office Colorado,