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U.S. Securities and Exchange Commission

Electronic Mailboxes at the Commission

General Information

The SEC invites public inquiries and comments through the use of its Internet electronic mailboxes. Because electronic mail (e-mail) on the Internet is not secure, you should not send confidential or sensitive information. Further, responses sent over Internet e-mail are not considered statements of SEC policy or Commission opinion.

To assist us in responding to your message quickly, please include your e-mail address, a postal mailing address, and a daytime telephone number in your message. In most of these boxes, incoming messages are acknowledged through an automatic receipt reply; however, please note that the volume of messages received by a Commission mailbox may delay a response to all inquiries.

A variety of SEC offices and divisions currently maintain mailboxes to receive messages from the public. Available mailboxes include:

Office of Investor Education and Advocacy
Certified Document Requests
Enforcement (Complaint Center)
Disability Program Office
Chairman's Office
Trading and Markets
Section 36 Exemption Applications
Rule Comments
FOIA Requests
Office of Inspector General
Office of Chief Accountant
Corporation Finance
IARD and Investment Adviser Electronic Filing
Investment Management
Webmaster
Recruitment
Atlanta Regional Office
Boston Regional Office
Chicago Regional Office
Denver Regional Office
Fort Worth Regional Office
Los Angeles Regional Office
Miami Regional Office
New York Regional Office
Philadelphia Regional Office
Salt Lake Regional Office
San Francisco Regional Office

The Office of Investor Education and Advocacy has two contact forms:

https://tts.sec.gov/oiea/Complaint.html

This form may be used to file an investor complaint with the SEC.

https://tts.sec.gov/oiea/QuestionsAndComments.html

Use this form to submit general questions and inquiries about the federal securities laws or investments.

Note: Neither of these forms should be used to submit filings under any circumstances. Such submissions will not be considered filed with the Commission. Submissions should be sent via EDGAR (if the company is mandated to file electronically); otherwise, filings should be addressed in writing and sent via postal mail or courier to the SEC at 100 F Street, NE, Washington, D.C. 20549.
 

certified@sec.gov

Requests for certified copies of records or documents should be submitted to certified@sec.gov.
 

Enforcement Complaint Center

Complaints and reports from any member of the public concerning possible violations of the federal securities laws can now be sent directly to the Enforcement Complaint Center. If you believe that you have been the victim of a securities-related fraud, through the Internet or otherwise, or if you believe that any person or entity may have violated or is currently violating the federal securities laws, we would like to hear from you. You can use the Enforcement Complaint Form located in our Enforcement Complaint Center. Our mission is to enforce the securities laws that seek to protect investors and ensure that the securities markets are fair and honest. By reporting suspected instances of fraudulent activity relating to securities, you may be able to prevent future losses to investors.

Disability Program Office

The Disability Program Office handles requests for reasonable accommodations for disability at the SEC. Employees, job applicants and members of the public attending SEC public programs who have a severe medical condition or a disability may request reasonable accommodations by using this mailbox or the SECInterpreter@sec.gov mailbox for Sign Language Interpreting services. These mailboxes should not be used to submit job applications. For more information about SEC job vacancies. Please go to the SEC Employment page of this site.

How to request accommodations (other than sign language interpreting)
The SEC provides reasonable accommodations to individuals with disabilities who request them so that they can participate in SEC's programs for the public. To request an accommodation for disability at a public program submit the form for Reasonable Accommodation for Participation in SEC Public Programs at least 5 business days in advance of the date you need the requested accommodation.

How to request SEC Sign Language Interpreting services
Send an email to SECInterpreter@sec.gov at least 5 days before the date you will need this service. In addition to your contact information, provide the name of the event or describe the activity for which interpreting is requested. Include date, time (start and end), address and room location. Allow at least 5 business days to request sign language interpreting services.

Public programs are posted on the SEC Calendar under Meetings and Other Events, http://www.sec.gov/about/upcoming-events.htm. Interpreting services are also available for members of the public who need them to interview for employment or to conduct other business with SEC personnel.

chairmanoffice@sec.gov

This mailbox may be used to send inquiries and communications relating to the work of the SEC to the Office of the Chairman. Remember that your e-mail is not confidential, and others may intercept and read your e-mail.

tradingandmarkets@sec.gov

This mailbox may be used to send inquiries, communications, requests for information, and correspondence to the Division of Trading and Markets, which oversees the operations of the nation's securities markets and market professionals. Topics of inquiry may include the Commission's rules applicable to national securities exchanges, national securities associations, clearing agencies, transfer agents, and broker-dealers (such as requirements regarding recordkeeping, customer protection, net capital, customer confirmation statements, margin and extensions of credit, penny stocks, soft dollar arrangements, and electronic delivery of information).

Inquiries also may address the Commission's rules with respect to trading practices, market manipulation, payment for order flow, and short sales. Investors with specific questions or complaints, however, should contact the Commission's Office of Investor Education and Advocacy at 202-551-6551 or by e-mail at help@sec.gov. Inquiries regarding the disciplinary history of particular persons associated with broker-dealers should be directed to the National Association of Securities Dealers, Inc. at 1-800-289-9999.

This mailbox may also be used to send requests for interpretive, exemption, or no-action letters to the Division of Trading and Markets. Remember that your e-mail is not confidential, and others may intercept and read your e-mail. At this time, requests must be in standard e-mail text or ASCII format so the staff can easily read and print the letters. The letters should include the telephone number of the requestor. These letters will be processed by the staff in the same manner as requests submitted in paper.


Section 36 Exemptive Applications

This mailbox may be used only for sending applications for exemption by Commission order under Section 36 of the Securities Exchange Act of 1934. An application must follow the procedures contained in Exchange Act Rule 0-12. You should also refer to Commission Release Number 34-39624 and 34-64913. Requests submitted electronically will be processed by the staff in the same manner as applications submitted on paper.

rule-comments@sec.gov

The public is encouraged to submit comments on proposed rules either in writing, as explained on the first page of each rule proposal, or via electronic mail. Proposed rules can be found on the SEC Proposed Rules page of this site. Comments on proposed rules received either electronically or in writing will be made available to the public.

foiapa@sec.gov

This mailbox should be used to send Freedom of Information Act requests to the SEC's Office of FOIA Services for agency records, including copies of SEC records and documents, historic Commission filings, special reports and studies, speeches, and testimony. Before submitting your request please use the search feature found in the upper right hand corner of our home page. Many of these documents can be obtained free of charge by using our online search engine.

This mailbox may not be used to send requests for confidential treatment under the Commission's rules. Such requests should be addressed to:

Office of FOIA Services
Securities and Exchange Commission
100 F Street, NE
Room 2736
Washington, DC 20549-2736

To learn more, access How to Request Documents.

oig@sec.gov

This mailbox may be used to contact the SEC's Office of Inspector General. This mailbox should not be used to report possible violations of the federal securities laws by persons outside the SEC (see Enforcement Complaint Center ) or to make a complaint about your broker or an unfair sales practice (contact the Commission's Office of Investor Education and Advocacy at 202-551-6551 or by e-mail at help@sec.gov.)

The primary functions of the Office of Inspector General are to

1) perform audits of Commission operations, programs, activities, functions, and organizations, and

2) conduct investigations of alleged staff (and contractor) misconduct.

The Office accepts written or oral complaints, as well as anonymous allegations, although investigations are usually most effective if the complainant can provide specific information or documents upon request. The Office is also interested in receiving suggestions for possible improvements to the SEC's programs and operations.

You may send information about possible staff or contractor misconduct, or suggestions for improvements, to this mailbox. If you are comfortable in doing so, we ask that you provide your name, postal address, e-mail address, and a daytime telephone number where you can be reached easily. Remember that your e-mail is not confidential and others may intercept and read your e-mail. If you do not wish to send information to us via e-mail, you may telephone us at (202) 551-6061, FAX us at (202) 772-9265, or write to the following address:

Office of Inspector General
Securities and Exchange Commission
100 F Street, NE
Washington, DC 20549-2736

oca@sec.gov

Use the Office of the Chief Accountant mailbox for general inquiries on technical accounting and auditing matters, inquiries relating to information on Sarbanes-Oxley regulations, and independence-related matters.

Corporation Finance

You may submit questions to the Division of Corporation Finance about the Securities Act of 1933, the Securities Exchange Act of 1934 or the Trust Indenture Act of 1939 by completing an online form. Questions submitted electronically will be processed by the staff in the same manner as telephone calls.

Requests for no-action, interpretive or exemptive letters - other than requests made under Exchange Act Rule 14a-8 - to the Division of Corporation Finance's Office of Chief Counsel may be submitted by on-line form. For information about submitting a request to a Division Office other than the Office of Chief Counsel, please contact that office directly at the telephone number or email address listed here.

dcaoletters@sec.gov

This mailbox may be used to send requests for interpretations, accommodations, or waivers of financial reporting and disclosure requirements to the Division of Corporation Finance's Office of Chief Accountant. Remember that your e-mail is not confidential, and others may intercept and read your e-mail. In order to facilitate proper routing, please include in the body of the e-mail: company name, date of letter, correspondent's name, CIK number, Assistant Director Office No., and file number. Correspondence must be attached to the e-mail as a pdf file. Letters will be processed by the staff in the same manner as requests submitted in paper.

Investment Management

To contact the Division of Investment Management with a question about the Investment Company Act of 1940, the Investment Advisers Act of 1940, mutual funds, closed-end funds, UITs, interval funds, ETFs, investment advisers, variable insurance products (for example, variable annuities and variable life insurance contracts), IARD, and 13F filings, only, please visit Division of Investment Management: Directory of Telephone Numbers and E-Mail Addresses.

IARDLIVE@sec.gov

Questions about electronic filing by investment advisers through IARD should be sent to this mailbox. Before you send in a question, please check the Frequently Asked Questions and other information available on the IARD web page.

webmaster@sec.gov

If you have suggestions for improving our Web server or discover a problem on the site, please advise the Commission's technical staff via e-mail at this mailbox.

recruitment@sec.gov

If you are interested in employment opportunities with the Securities and Exchange Commission, you can send a message through this mailbox to the Office of Human Resources, which handles recruitment and hiring programs for the SEC. You may request general information about SEC positions or copies of specific vacancy announcements as well as ask other questions about SEC employment. When contacting this office, please include in your message your name, postal address, e-mail address, and a daytime telephone number where you can be reached so we can respond to your request. Your message should indicate the types of positions or jobs in which you are interested.

This mailbox should not be used to submit applications. If you are an attorney or law student, you may send your application to: Securities and Exchange Commission, 100 F Street, NE, Washington, DC 20549-0203, Attention: Recruitment Specialist. Other interested applicants should submit their applications to the address indicated in the vacancy announcement. Information about our vacancies can be found at the SEC Employment page of this site.

Regional Offices

Atlanta Regional Office

atlanta@sec.gov
This mailbox may be used to send inquiries, communications, and requests for information relating to the work of the Atlanta Regional Office in Georgia, North Carolina, South Carolina, Alabama, and Tennessee. When contacting this office, please include in your message your name, postal address, e-mail address, and a daytime telephone number where you can be reached.

To report suspected violations of federal securities laws, or if you suspect you have been the victim of a securities-related fraud, please use our online forms to send us a tip, complaint, or referral.

Boston Regional Office

boston@sec.gov
This mailbox may be used to send inquiries, communications, and requests for information about the work of the Boston Regional Office in Connecticut, Maine, Massachusetts, New Hampshire, Vermont and Rhode Island. When contacting this office, please include in your message your name, postal address, e-mail address, and a daytime telephone number where you can be reached.

To report suspected violations of federal securities laws, or if you suspect you have been the victim of a securities-related fraud, please use our online forms to send us a tip, complaint, or referral.

Chicago Regional Office

chicago@sec.gov
This mailbox may be used to send inquiries, communications, and requests for information about the work of the Chicago Regional Office in Illinois, Indiana, Iowa, Kentucky, Michigan, Minnesota, Missouri, Ohio, and Wisconsin. When contacting this office, please include in your message your name, postal address, e-mail address, and a daytime telephone number where you can be reached.

To report suspected violations of federal securities laws, or if you suspect you have been the victim of a securities-related fraud, please use our online forms to send us a tip, complaint, or referral.

Denver Regional Office

denver@sec.gov
This mailbox may be used to send inquiries, communications, and requests for information about the work of the Denver Regional Office in Colorado, Nebraska, New Mexico, North Dakota, South Dakota, and Wyoming. When contacting this office, please include in your message your name, postal address, e-mail address, and a daytime telephone number where you can be reached.

To report suspected violations of federal securities laws, or if you suspect you have been the victim of a securities-related fraud, please use our online forms to send us a tip, complaint, or referral.

Fort Worth Regional Office

dfw@sec.gov
This mailbox may be used to send inquiries, communications, and requests for information relating to the work of the Fort Worth Regional Office in Arkansas, Kansas, Oklahoma, and Texas. When contacting this office, please include in your message your name, postal address, e-mail address, and a daytime telephone number where you can be reached.

To report suspected violations of federal securities laws, or if you suspect you have been the victim of a securities-related fraud, please use our online forms to send us a tip, complaint, or referral.

Los Angeles Regional Office

losangeles@sec.gov
This mailbox may be used to send inquiries, communications, and requests for information about the work of the Los Angeles Regional Office in Southern California (zip codes 93599 and below except for 93200-93299), Arizona, Nevada, Hawaii, and Guam. When contacting this office, please include in your message your name, postal address, e-mail address, and a daytime telephone number where you can be reached.

To report suspected violations of federal securities laws, or if you suspect you have been the victim of a securities-related fraud, please use our online forms to send us a tip, complaint, or referral.

Miami Regional Office

miami@sec.gov
This mailbox may be used to send inquiries, communications, or requests for information about the work of the Miami Regional Office in Florida, Mississippi, Louisiana, U.S. Virgin Islands, and Puerto Rico. When contacting this office, please include in your message your name, postal address, e-mail address, and a daytime telephone number where you can be reached.

To report suspected violations of federal securities laws, or if you suspect you have been the victim of a securities-related fraud, please use our online forms to send us a tip, complaint, or referral.

New York Regional Office

newyork@sec.gov
This mailbox may be used to send inquiries, communications, or requests for information about the work of the New York Regional Office in New York and New Jersey. When contacting this office, please include in your message your name, postal address, e-mail address, and a daytime telephone number where you can be reached.

To report suspected violations of federal securities laws, or if you suspect you have been the victim of a securities-related fraud, please use our online forms to send us a tip, complaint, or referral.

Philadelphia Regional Office

philadelphia@sec.gov
This mailbox may be used to send inquiries, communications, and requests for information about the work of the Philadelphia Regional Office in Delaware, the District of Columbia, Maryland, Pennsylvania, Virginia, and West Virginia. When contacting this office, please include in your message your name, postal address, e-mail address, and a daytime telephone number where you can be reached.

To report suspected violations of federal securities laws, or if you suspect you have been the victim of a securities-related fraud, please use our online forms to send us a tip, complaint, or referral.

Salt Lake Regional Office

saltlake@sec.gov
This mailbox may be used to send inquiries, communications, and requests for information relating to the work of the Salt Lake Regional Office in Utah. When contacting this office, please include in your message your name, postal address, e-mail address, and a daytime telephone number where you can be reached.

To report suspected violations of federal securities laws, or if you suspect you have been the victim of a securities-related fraud, please use our online forms to send us a tip, complaint, or referral.

San Francisco Regional Office

sanfrancisco@sec.gov
This mailbox may be used to send inquiries, communications, and requests for information relating to the work of the San Francisco Regional Office in Northern California (zip codes 93600 and above plus 93200 93299), Washington, Oregon, Alaska, Idaho, and Montana. When contacting this office, please include in your message your name, postal address, e-mail address, and a daytime telephone number where you can be reached.

To report suspected violations of federal securities laws, or if you suspect you have been the victim of a securities-related fraud, please use our online forms to send us a tip, complaint, or referral.

 

http://www.sec.gov/contact/mailboxes.htm

Modified: 12/09/2014