Questions and Complaints
May 12, 2017
NOTICE DURING GOVERNMENT SHUTDOWN
Due to the ongoing federal government shutdown, the SEC is currently operating in accordance with the agency's plan for operating during a shutdown. The SEC has staff available to respond to emergency situations involving market integrity and investor protection, including law enforcement. In addition, our plan calls for the continuing operation of certain Commission systems, including the online Tips, Complaints, and Referrals (TCR) System. During the federal government shutdown, the public may continue to submit tips, complaints, or referrals reporting suspected securities fraud or wrongdoing to the Commission through the online TCR System and submissions will be reviewed for appropriate action.
- Report a possible securities fraud
- Ask a question or report a problem concerning your investments, your investment account or a financial professional
- Learn about the whistleblower provisions in the Dodd-Frank Wall Street Reform and Consumer Protection Act
Submit a matter to the Ombudsman if you have a concern about the SEC or a self-regulatory organization (SRO) the SEC oversees, or if you have a question about securities law and policy that you would like to discuss confidentially