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U.S. Securities and Exchange Commission

CCOutreach Program: Helpful Resources

Phone Numbers and Email Addresses

Form ADV Helpline
Staffed by the Division of Investment Management's Office of Investment Adviser Regulation. Call or email to receive information regarding adviser registration and how to interpret and complete Form ADV. This is a voicemail line so that SEC staff can research a response to your question and then call you back.
202-551-6999 or IARDlive@sec.gov

Form ADV Technical Support Line
Staffed by the NASD (the IARD system operator). Call here for technical support on access to the IARD system, IARD passwords, IARD account funding.
240-386-4848

SEC Office of Investment Adviser Regulation
Staffed by the Division of Investment Management. Call or email to receive information regarding recent SEC rulemakings and applications for exemptive relief from adviser rules. 202-551-6787 or IArules@sec.gov

SEC Office of Chief Counsel
Staffed by the Division of Investment Management. Call or email to receive other interpretive guidance on investment adviser or investment company rules.
202-551-6865 or IMOCC@sec.gov

Examination Hotline
Staffed by the Office of Compliance Inspections and Examination's Office of the Chief Counsel. Call or email to express concerns about an examination.
202-551-EXAM or ExamHotline@sec.gov

CCOutreach
Staffed by the Office of Compliance Inspections and Examination's Office of Investment Company/ Investment Adviser Examinations and Oversight. Email comments and suggestions primarily intended for use in the CCOutreach Program. Please note that the staff does not respond directly to specific compliance questions and concerns.
CCOutreach@sec.gov

Web Sites

CCOutreach
http://www.sec.gov/info/ccoutreach.htm
Upcoming Events
Seminar Registration
Speeches and Press Releases

Division of Investment Management
http://www.sec.gov/divisions/investment.shtml
Investment Advisers Act and Advisers Act rules
Selected staff no-action and interpretive letters
Staff responses to FAQs about various requirements

IARD Homepage
http://www.sec.gov/divisions/investment/iard.shtml
Information regarding new regulatory matters for advisers

Relevant Speeches

Compliance Through Crisis: Focus Areas for SEC Examiners and Compliance Professionals
http://www.sec.gov/news/speech/2008/spch102108lar.htm
Lori A. Richards, Director, Office of Compliance Inspections and Examinations
National Society of Compliance Professionals National Meeting, Philadelphia, PA
October 21, 2008

"Why Does Fraud Occur and What Can Deter or Prevent it?"
http://www.sec.gov/news/speech/2008/spch090908lar.htm
Lori A. Richards, Director, Office of Compliance Inspections and Examinations
Southwest Securities Enforcement Conference, Ft. Worth, TX
September 9, 2008

Keynote Address Before SIFMA's Institutional Brokerage Conference — the "Evolving Marketplace"
http://www.sec.gov/news/speech/2008/spch060408ajd.htm
Andrew J. Donohue, Director, Division of Investment Management
SIFMA's Institutional Brokerage Conference, New York, NY
June 4, 2008

Remarks Before the NAVA Compliance and Regulatory Affairs Conference — "Managing Risk in a Changing World."
http://www.sec.gov/news/speech/2008/spch060208ajd.htm
Andrew J. Donohue, Director, Division of Investment Management
NAVA Compliance and Regulatory Affairs Conference, Washington, DC
June 2, 2008

Frequently-Asked Questions About SEC Examinations
http://www.sec.gov/news/speech/2008/spch011708lar.htm
Lori A. Richards, Director, Office of Compliance Inspections and Examinations
SIFMA Compliance and Legal Division January General Luncheon Meeting, New York, NY
January 17, 2008

If I Were a Director of a Fund Investing in Derivatives — Key Areas of Risk on Which I Would Focus"
http://www.sec.gov/news/speech/2007/spch110807gg.htm
Gene A. Gohlke, Associate Director, Office of Compliance Inspections and Examinations
Mutual Fund Directors Forum Program "Funds' Use of Derivatives," New York, NY
November 8, 2007

Working Towards a Culture of Compliance: Some Obstacles in the Path
http://www.sec.gov/news/speech/2007/spch101807lar.htm
Lori A. Richards, Director, Office of Compliance Inspections and Examinations
National Society of Compliance Professionals 2007 National Membership Meeting, Washington, DC
October 18, 2007

Fiduciary Duty: Return to First Principles
http://www.sec.gov/news/speech/spch022706lar.htm
Lori A. Richards, Director, Office of Compliance Inspections and Examinations
Eighth Annual Investment Adviser Compliance Summit, Washington, DC
February 27, 2006

Better Than 'Business as Usual'
http://www.sec.gov/news/speech/spch102605lr.htm
Lori Richards, Director, Office of Compliance Inspections and Examinations
Remarks before the National Society of Compliance Professionals National Membership Meeting, Washington, DC
October 25, 2005

SEC Expectations for Regulatory Compliance
http://www.sec.gov/news/speech/spch111405gag.htm
Gene Gohlke, Associate Director, Office of Compliance Inspections and Examinations
Remarks before the Fund of Funds Forum, New York, NY
November 14, 2005

Relevant Rulemaking and Proposals

Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-En Management Investment Companies
http://www.sec.gov/rules/proposed/2008/33-8949.pdf
http://www.sec.gov/rules/proposed/2007/33-8861.pdf

Amendments to Form ADV
http://www.sec.gov/rules/proposed/2008/ia-2711.pdf

Commission Guidance Regarding the Duties and Responsibilities of Investment Company Boards of Directors with Respect to Investment Adviser Portfolio Trading Practices (Soft Dollar Release)
http://www.sec.gov/rules/proposed/2008/34-58264.pdf

 

http://www.sec.gov/info/cco/ccoresources.htm


Modified: 07/14/2010