Division of Investment Management

If you have information about potential fraud or wrongdoing involving violations of the securities laws, access the SEC’s Tips, Complaints and Referrals Portal

If you are an investor with questions or complaints relating to your investments, accounts, or a financial professional, contact the Office of Investor Education and Assistance at: help@sec.gov.

General Guidelines

• If you are an attorney or compliance officer submitting a question, research all available legal authority before contacting the Division 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 below to select the appropriate contact based on your inquiry.
• Please do not send sensitive information – such as PII or proprietary information – in correspondence, 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.