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Division of Investment Management: Frequently Requested Telephone Numbers, E-Mail Addresses, and Other Contacts

Contact Information
 
 

Division of Investment Management: Frequently Requested Telephone Numbers, E-Mail Addresses, and Other Contacts


Before contacting the Division of Investment Management, please note:

  • Guidance provided by the staff via the telephone or email is informal and is not binding on the staff or the Commission.
     
  • To submit Tips and Complaints, see the box below.
     

Division of Investment Management

Main Phone
(202) 551-6720

Headquarters
U.S. Securities and Exchange Commission
Division of Investment Management
100 F Street, NE
Washington, DC 20549

New York Regional Office
3 World Financial Center
Room 400
New York, NY 10281

Organization Chart

General Questions

Investment Advisers

Chief Counsel's Office (CCO)
(202) 551-6825 | E-mail: IMOCC@sec.gov

Investment Adviser Regulation Office (IARO)
(202) 551-6999 | E-mail: IARDLIVE@sec.gov

Investment Companies (mutual funds, closed-end funds, business development companies, unit investment trusts, interval funds and exchange-traded funds)

Chief Counsel's Office (CCO)
(202) 551-6825 | E-mail: IMOCC@sec.gov

Insured Investments (variable annuities and variable life insurance)

Insured Investments Office (IIO)
(202) 551-6795 | E-mail: IMOCC@sec.gov

Disclosure

Investment Advisers

Investment Adviser Regulation Office (IARO)
(202) 551-6999 | E-mail: IARDLIVE@sec.gov

Investment Companies

Disclosure Review Office (DRO)
(202) 551-6921 | E-mail: IMOCC@sec.gov

Insured Investments

Insured Investments Office (IIO)
(202) 551-6795 | E-mail: IMOCC@sec.gov

Exemptive Orders

Investment Advisers

Investment Adviser Regulation Office (IARO)
(202) 551-6999 | E-mail: IARDLIVE@sec.gov

Investment Companies

Exemptive Applications Office (EAO)
(202) 551-6821 | E-mail: IMOCC@sec.gov

Insured Investments

Insured Investments Office (IIO)
(202) 551-6795 | E-mail: IMOCC@sec.gov

Interpretive Guidance/ No-Action or Interpretive Letters

Accounting and Financial Filings

Chief Accountant's Office (CAO)
(202) 551-6918 | E-mail: IMOCA@sec.gov

Investment Advisers

Chief Counsel's Office (CCO)
(202) 551-6825 | E-mail: IMOCC@sec.gov

Investment Adviser Regulation Office (IARO)
(202) 551-6999 | E-mail: IARDLIVE@sec.gov

Investment Companies

Chief Counsel's Office (CCO)
(202) 551-6825 | E-mail: IMOCC@sec.gov

Insured Investments

Insured Investments Office (IIO)
(202) 551-6795 | E-mail: IMOCC@sec.gov

Rulemaking

Investment Advisers

Investment Adviser Regulation Office (IARO)
(202) 551-6999 | E-mail: IARDLIVE@sec.gov

Investment Companies

Investment Company Rulemaking Office
(202) 551-6792

Insured Investments

Insured Investments Office (IIO)
(202) 551-6795 | E-mail: IMOCC@sec.gov

Shareholder Proposals

No-Action Relief Request or Correspondence

Disclosure Review Office
(202) 551-6921 | E-mail: IMshareholderproposals@sec.gov

Submission by Mail

U.S. Securities and Exchange Commission
Division of Investment Management
Office of Disclosure and Review
100 F Street, N.E.
Washington, D.C. 20549-8626

Select Forms

Form 13F (Institutional Investment Manager Report)

Interpretive Advice
Chief Counsel's Office/ Public Inquiry
Phone: (202) 551-6865 | E-mail: IMOCC@sec.gov

Filer Support
Public Inquiry
Phone: (202) 551-8900 (#3 – IT Technical Support) (#5 – IM Filer Support)| E-mail: IMOCC@sec.gov

Form 24f-2 (Annual notice of securities sold pursuant to Rule 24-f2)

Interpretive Advice
Financial Analysis Office
Phone: (202) 551-6703 | E-mail: IMOCC@sec.gov

Filer Support
Disclosure Review Office, EDGAR Support
Phone: (202) 551-6989 | E-mail: IMOCC@sec.gov

Form ADV (Investment Adviser Registration and Report by Exempt Reporting Advisers)

Interpretive Advice
Chief Counsel's Office/ Public Inquiry
Phone: (202) 551-6865 | E-mail: IMOCC@sec.gov

Filer Support (Technical)
Financial Industry Regulatory Authority
Phone: (240) 388-4848 | E-mail: webiard@finra.org

Form N-1A (Registration form for open-end management investment companies)

Interpretive Advice
Chief Counsel's Office/ Public Inquiry
Phone: (202) 551-6865 | E-mail: IMOCC@sec.gov

Filer Support
Disclosure Review Office, EDGAR Support
See also: www.sec.gov/info/edgar.shtml
Phone: (202) 551-6989 | E-mail: IMOCC@sec.gov

Form N-2 (Registration statement for closed-end management investment companies)

Interpretive Advice
Chief Counsel's Office/ Public Inquiry
Phone: (202) 551-6865 | E-mail: IMOCC@sec.gov

Filer Support
Disclosure Review Office, EDGAR Support
See also: www.sec.gov/info/edgar.shtml
Phone: (202) 551-6989 | E-mail: IMOCC@sec.gov

Form N-3 (Registration statement of separate accounts organized as management investment companies)

Interpretive Advice
Chief Counsel's Office/ Public Inquiry
Phone: (202) 551-6865 | E-mail: IMOCC@sec.gov

Filer Support
Disclosure Review Office, EDGAR Support
See also: www.sec.gov/info/edgar.shtml
Phone: (202) 551-6989 | E-mail: IMOCC@sec.gov

Form N-4 (Registration statement of separate accounts organized as unit investment trusts)

Interpretive Advice
Chief Counsel's Office/ Public Inquiry
Phone: (202) 551-6865 | E-mail: IMOCC@sec.gov

Filer Support
Disclosure Review Office, EDGAR Support
See also: www.sec.gov/info/edgar.shtml
Phone: (202) 551-6989 | E-mail: IMOCC@sec.gov

Form N-6 (Registration statement for separate accounts organized as unit investment trusts that offer variable life insurance policies)

Interpretive Advice
Insured Investments Office (IIO)
Phone: (202) 551-6795 | E-mail: IMOCC@sec.gov

Filer Support
Disclosure Review Office, EDGAR Support
See also: www.sec.gov/info/edgar.shtml
Phone: (202) 551-6989 | E-mail: IMOCC@sec.gov

Form N-8A (Notification of registration filed pursuant to Section 8(a) of Investment Company Act of 1940)

Interpretive Advice
Chief Counsel's Office/ Public Inquiry
Phone: (202) 551-6865 | E-mail: IMOCC@sec.gov

Filer Support
Disclosure Review Office, EDGAR Support
Phone: (202) 551-6989 | E-mail: IMOCC@sec.gov

Form N-8F (Application for deregistration of certain registered investment companies)

Interpretive Advice
Chief Counsel's Office/ Public Inquiry
Phone: (202) 551-6865 | E-mail: IMOCC@sec.gov

Filer Support
Disclosure Review Office, EDGAR Support
Phone: (202) 551-6989 | E-mail: IMOCC@sec.gov

Form N-14 (Form for the registration of securities issued in business combination transactions by investment companies and business development companies)

Interpretive Advice
Chief Counsel's Office/ Public Inquiry
Phone: (202) 551-6865 | E-mail: IMOCC@sec.gov

Filer Support
Disclosure Review Office, EDGAR Support
Phone: (202) 551-6989 | E-mail: IMOCC@sec.gov

Form N-54A (Notification of election to be subject to Sections 55-65 of the Investment Company Act of 1940)

Interpretive Advice
Chief Counsel's Office/ Public Inquiry
Phone: (202) 551-6865 | E-mail: IMOCC@sec.gov

Filer Support
Disclosure Review Office, EDGAR Support
Phone: (202) 551-6989 | E-mail: IMOCC@sec.gov

Form N-54C (Notification of withdrawal of election to be subject to Sections 55-65 of the Investment Company Act of 1940)

Interpretive Advice
Chief Counsel's Office/ Public Inquiry
Phone: (202) 551-6865 | E-mail: IMOCC@sec.gov

Filer Support
Disclosure Review Office, EDGAR Support
Phone: (202) 551-6989 | E-mail: IMOCC@sec.gov

Form N-CSR (Certified shareholder report of registered management investment companies)

Interpretive Advice
Chief Counsel's Office/ Public Inquiry
Phone: (202) 551-6865 | E-mail: IMOCC@sec.gov

Filer Support
Disclosure Review Office, EDGAR Support
Phone: (202) 551-6989 | E-mail: IMOCC@sec.gov

Form N-MFP (Monthly Schedule of Portfolio Holdings of Money Market Funds)

Interpretive Advice
Chief Counsel's Office/ Public Inquiry
Phone: (202) 551-6865 | E-mail: IMOCC@sec.gov

Filer Support
Disclosure Review Office, EDGAR Support
Phone: (202) 551-6989 | E-mail: IMOCC@sec.gov

Form N-PX (Annual Report of Proxy Voting Record of Registered Management Investment Company)

Interpretive Advice
Chief Counsel's Office/ Public Inquiry
Phone: (202) 551-6865 | E-mail: IMOCC@sec.gov

Filer Support
Disclosure Review Office, EDGAR Support
Phone: (202) 551-6989 | E-mail: IMOCC@sec.gov

Form N-Q (Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company)

Interpretive Advice
Chief Counsel's Office/ Public Inquiry
Phone: (202) 551-6865 | E-mail: IMOCC@sec.gov

Filer Support
Disclosure Review Office, EDGAR Support
Phone: (202) 551-6989 | E-mail: IMOCC@sec.gov

Form N-SAR (Semi-annual report of registered investment companies)

Interpretive Advice
Financial Analysis Office
Phone: (202) 551-6703 | E-mail: IMOCC@sec.gov

Filer Support
Disclosure Review Office, EDGAR Support
Phone: (202) 551-6989 | E-mail: IMOCC@sec.gov

Form PF (Reporting Form for Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors)

Interpretive Advice
Investment Adviser Regulation Office
Phone: (202) 551-6999 | E-mail: FormPF@sec.gov

Filer Support (Technical)
Financial Industry Regulatory Authority
Phone: (240) 388-4848 | E-mail: pfrdsupport@finra.org

Other Inquiries

Series Licensing (e.g., Series 6, 7, 63, 65, 66)

Division of Trading and Markets
Phone: (202) 551-5777 | E-mail: TradingandMarkets@sec.gov

Form 13H

Division of Trading and Markets
Phone: (202) 551-5777 | E-mail: TradingandMarkets@sec.gov

Forms 13D/13G

Division of Corporation Finance, Mergers and Acquisitions
Phone: (202) 551-3440 | Questions may be submitted by on-line form

Important Notes

  • Please send your questions and comments to ONE SEC Office ONLY. If you send your question/comment to the wrong SEC Office, do not worry: it will be forwarded to the correct Office for you!
     
  • If you are an attorney or compliance officer submitting a legal question, we request that you research all available legal authority before contacting us, and include the results of your research with your question.
     
  • When submitting tips, complaints, questions, or other information to the SEC, please read the Privacy Act Statement.

To File Tips and Complaints

See: SEC Complaint Center at
http://www.sec.gov/complaint.shtml.

Office of Investor Education and Advocacy
Phone: (202) 551-6551; 1-800-SEC-0330

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

Last modified: April 10, 2013