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Filer Support Contact List

(202) 551-8900

 


Option #1: Filing Fees Branch

  • Account Balance
  • Fedwire Status
  • Current Fee Rate
  • Refunds of Unused Funds

Option #3: EDGAR Technical Support

  • General Instructions for Form ID, Access Requests, and Company Updates
  • Form ID for Filing Agents and Trading and Markets Filers
  • Troubleshooting an Error Message
  • Connection Error with EDGAR
  • Formatting Documents
  • Transmitting Documents
  • Any problems submitting documents

Option #4: EDGAR Filer Support for Corporation Finance

  • Become a Corporation Finance Filer
  • Form ID or Passphrase Update for Corporation Finance Filers
  • Form D for Corporation Finance Filers
  • SIC Codes
  • Update Registrant Information for Corporation Finance Filers
  • Duplicate or removing a Corporation Finance filing
  • Hardship Exemption Requests
  • Anything relating to specific Rules and Regulations
*The Corporation Finance Filer Support office will be closed from 9:00 to 10:00 a.m. on the last Wednesday of each month.

Option #5: Division of Investment Management

  • Filings under the 1940 Act Rules
  • Institutional investment managers subject to review by Division of Investment Management
  • Help with investment company filings
  • Become an Investment Company Filer
    • Form ID process for Investment Company Filers
    • Access Codes requests
    • Update passphrase requests
    • Update company information for an Investment Company Filer (COUPDAT and SCUPDAT)
    • Duplicate or removing an Investment Company filing
*For Frequently Requested Telephone Numbers, E-Mail Addresses, and Other               Contacts for the Division of Investment Management, click here. 

Option #6: Transfer Agents subject to review


Option #7: Large Traders and Form 13H


Option #8: Municipal Advisor Registration

      Forms MA, MA-I, MA-W, MA-NR


Office of Mergers and Acquisitions

(202) 551-3440

 


Office of Investor Education and Advocacy

(202) 551-6551

Hours of Operation


9:00 am - 5:30 pm EST

Monday - Friday, excluding Federal Holidays

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Modified: Dec. 6, 2016