Contact Information

Division of Investment Management Contacts

April 10, 2013

If you have information about potential fraud or wrongdoing involving violations of the securities laws, learn more about how to report it to the SEC.

If you are an investor with questions or complaints relating to your investments, accounts, or a financial professional, please contact the Office of Investor Education and Advocacy at: 1-800-732-0330 or Help@sec.gov

General Guidelines

  • If you are an attorney or compliance officer submitting a question, we request that you research all available legal authority before contacting us, and include a brief summary of the results of your research with your question. As part of your research, please review the Division’s public materials on the subject matter.
  • The staff cannot provide legal advice to private parties.  If you need legal advice, you may want to consult an attorney specializing in the U.S. securities laws.
  • Guidance provided by the staff via the telephone or email is informal and is not binding on the staff or the Commission.
  • Please use the table of contents below to select the appropriate office based on the subject of your inquiry, and send your question to one SEC office only.  If you send it to the wrong office, it will be forwarded to the correct office for you.
  • IMPORTANT: Please do not send sensitive information – such as PII or proprietary information – in correspondence to us, as email is not necessarily secure against interception. For more information, see SEC Web Site Privacy and Security.

If you have received comments on an investment company or insurance product filing and wish to discuss them with the staff, contact a member of the review team identified in the letter you received.   If you are unsure who is on your review team, please email IMDRAO@sec.gov for assistance.

Learn more about specific procedures for submitting no-action and interpretive letter requests.

Topic Contact
General and specific legal and interpretive questions about the Investment Company Act of 1940 or the Investment Advisers Act of 1940, or matters pending with the Division of Investment Management, including exemptive orders, as well as questions regarding various forms under the Acts.
General and specific questions about investment company and insurance product registration and/or proxy forms
The form and content of financial statements and other financial information required to be included in Commission filing
EDGAR Filer Support
Investment Adviser Registration and Reporting Forms (Forms ADV, ADV-E, ADV-H, ADV-NR, ADV-W) Interpretive Questions
Filer Support and Technical Questions (ID, password, account setup, how to use IARD or file forms)

Financial Industry Regulatory Authority (FINRA)
Pending Investment Adviser Registrations EXAMSRegistrationInquiries@sec.gov
Form PF Interpretive Questions
Technical Support

Financial Industry Regulatory Authority (FINRA)
Rulemaking involving the Division
Shareholder proposal no-action letter

Last Reviewed or Updated: April 4, 2025