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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
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
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.
http://www.sec.gov/divisions/investment/imcontact.htm
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