Crypto Points of Contact on SEC.gov

Crypto Task Force

To provide general input on the SEC’s approach to the regulation of crypto assets:

• Submit public written input.
• Request a meeting with the Crypto Task Force.

Division of Corporation Finance

• Questions about the security status of crypto assets or transactions involving crypto assets.
• Questions about the application of the registration requirements of the Securities Act of 1933 or the Securities Exchange Act of 1934 to crypto assets and transactions involving crypto assets, including the availability of exemptions from such requirements.
• Questions about whether certain activities involving crypto assets, such as airdrops, are subject to SEC regulation.
• Questions about statements, guidance or interpretations the division has issued involving crypto assets and activities involving crypto assets.
• Questions about the application of disclosure requirements that may apply to offerings and registrations involving crypto assets.
• The Division of Corporation Finance has posted several crypto related statements.
• Please contact the Division of Corporation Finance’s Office of Chief Counsel with your inquiries.

Division of Investment Management 

• Questions about registered fund investments in crypto assets and related investments.
• Questions about crypto-related Exchange-Traded Funds (ETFs).
• Questions about the use of blockchain and distributed ledger technology in investment company or registered investment adviser operations.
• Questions about custody of crypto assets by registered investment advisers and qualified custodians.
• Please contact the Division of Investment Management Contacts with your inquiries.

Division of Trading and Markets

• Questions about broker-dealer custody and capital treatment of non-security crypto assets, crypto assets that are securities, and pairs trading of crypto assets (i.e., securities and non-securities) on alternative trading systems (ATSs) and national securities exchanges.
• Questions about registration as a broker-dealer, an exchange, or a clearing agency.
• Questions about listing, trading, and clearing crypto-related Exchange-Traded Products (ETPs) and crypto assets, including tokenized securities.
• Questions about protection of customer claims in a broker-dealer insolvency.
• Questions about transfer agents.
• Questions about record preservation in non-security crypto asset businesses.
• Division of Trading and Markets can be reached by calling 202-551-5777 or emailing tradingandmarkets@sec.gov.

Division of Enforcement

• Tips, complaints, or referrals about possible misconduct or fraud can be submitted using the online form.

Additional Resources

Office of FOIA Services

• Freedom of Information Act (FOIA) requests can be submitted using the Request for Copies of Documents form.
• Please follow the SEC Commission Confidential Treatment procedure to request confidential treatment of a submission under Rule 83.

Office of Investor Education and Advocacy

• Questions or complaints about investments, accounts, or a financial professional can be shared calling 1-800-732-0330 or by emailing help@sec.gov.

Office of Ombuds

• Concerns, questions, and complaints about the SEC, self-regulatory organizations (SROs) such as FINRA and the exchanges such as the NYSE that are subject to SEC oversight can be submitted using the OMMS form.

Office of the Whistleblower

Whistleblower information can be submitted through the whistleblower program.