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LaValley Law Library

 Financial Regulators

Contact Us

LaValley Law Library

Office Address:

Law Center
1825 W. Rocket Dr., 3rd Floor
Mailing Address:
2801 W. Bancroft, MS 507
Toledo, OH 43606

419.530.2733

LaValleyLaw@utoledo.edu

Financial Regulators Gateway

United States of America

Securities Banking Agencies

SECURITIES

U.S. SECURITIES AND EXCHANGE COMMISSION 
100 F Street, NE 
Washington, D.C. 20549

Phone: (202) 551-6000 (personnel), 1-800-SEC-0330 (investor information)
Fax: 202-772-9235 (Investor Complaint Center) 
Other SEC Contact Numbers

E-mail: SEC E-mail Directory
Website: http://www.sec.gov/

FEDERAL SECURITIES STATUTES AND RULES

Futures
U.S. COMMODITY FUTURES TRADING COMMISSION 
Three Lafayette Centre
1155 21st Street, NW 
Washington, D.C. 20581

Phone: (202) 418-5000; TTY (202) 418-5428
Fax: (202) 418-5521 
Other CFTC Contact Numbers

E-mail: questions@cftc.gov
Website: http://www.cftc.gov

U.S. COMMODITY FUTURES LEGISLATION AND REGULATION

Securities SRO's
NYSE EURONEXT
11 Wall Street
New York, N.Y. 10005
Phone: +1 800 281 3659

NYSE Contact (E-mail and Phone) Directory
Website: http://www.nyse.com /

NYSE RULES AND INTERPRETATIONS

NYSE LISTED COMPANY MANUAL

NYSE ARCA RULES AND INTERPRETATIONS

NYSE MKT RULES AND INTERPRETATIONS (formerly AMEX)

NYSE AMEX OPTIONS TRADING NOTICES

FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) 
1735 K Street, NW 
Washington, DC 20006

Phone: (301) 590-6500  
FINRA Contact Directory

Website: http://www.finra.org/

FINRA MANUAL (RULES AND REGULATIONS)

FINRA Notices 
 

MUNICIPAL SECURITIES RULEMAKING BOARD 
1900 Duke Street
Suite 600
Alexandria, VA 22314
Phone: (703) 797-6600
Fax: (703) 797-6700    

E-mail: MSRBsupport@msrb.org
Website: http://www.msrb.org/

MSRB RULES, FORMS, NOTICES AND INTERPRETATIONS


Futures SRO's
NATIONAL FUTURES ASSOCIATION 
300 S. Riverside Plaza, #1800 
Chicago, IL 60606-6615
Phone: (312) 781-1300
Fax: (312) 781-1467

New York Office:
One New York Plaza, #4300
New York, NY 10004
Phone: (212) 608-8660
Fax: (212) 964-3913

Compliance Contact Directory

E-mail: information@nfa.futures.org
Website: http://www.nfa.futures.org/  

NFA MANUAL/RULES

 

BANKING

BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM
20th Street and Constitution Ave., NW 
Washington, DC 20551

Phone: 888-851-1920
TTY: 877-766-8533

Fax: 877-888-2520
Other Federal Reserve Contact Numbers

E-mail: Contact us form
Website: http://www.federalreserve.gov/

FEDERAL RESERVE REGULATIONS

FEDERAL RESERVE LEGAL INTERPRETATIONS

COMPTROLLER OF THE CURRENCY
400 7th Street, SW
Washington, D.C. 20219
(202) 649-6800 
Other OCC Contact Informations

Website: http://www.occ.treas.gov /

COMPTROLLER OF CURRENCY REGULATIONS

OTHER LEGAL AND REGULATORY MATERIAL

OCC INTERPRETATIONS AND PRECEDENTS



FEDERAL DEPOSIT INSURANCE CORPORATION 
550 17th Street, NW 
Washington, DC 20429-9990 

Phone: (877) 275-3342
TDD: (800) 925-4618
Other FDIC Contact Numbers by Subject
Regional and Field Office Directory

E-mail: FDIC E-mail Directory by Subject
Website: http://www.fdic.gov /

FDIC LAWS & REGULATIONS

 

OFFICE OF THRIFT SUPERVISION
Effective July 21, 2011, the Office of Thrift Supervision (OTS) has
merged with the Office of the Comptroller of the Currency (OCC). The
following links provide policy guidance related to the integration of
the two agencies.

 

NATIONAL CREDIT UNION ADMINISTRATION
1775 Duke St.
Alexandria, VA 22314-3428

Phone: (703) 518-6300
Fax: (703) 518-6660 and (703) 518-6319 
Other NCUA Contact Numbers and emails

Website: http://www.ncua.gov/

NCUA REGULATIONS, LEGAL OPINIONS & LAWS

 

FEDERAL FINANCIAL INSTITUTIONS EXAMINATION COUNCIL
3501 Fairfax Drive 
Room B-7081a
Arlington, VA  22226-3550

Phone: (703) 516-5588

E-mail: Feedback Center for the FFIEC
Website: http://www.ffiec.gov /  


US Banking Legislation : USC Title 12

CONSUMER FINANCIAL PROTECTION BUREAU

1625 Eye Street N.W.
Washington, D.C. 20006

Mailing address:

Consumer Financial Protection Bureau

PO Box 4503 Iowa City, IA 52244

Phone: (855) 411-2372

TTY: (855) 729-2372

Fax: (855) 237-2392

Website: https://www.consumerfinance.gov/

Consumer Financial Protection Act of 2010

CFPB Regulations

Last Updated 3/24/2017

Last Updated: 3/24/17