Market participants as well as other interested members of the public are invited to request a joint meeting with SEC and CFTC staff. Please use this form to request a meeting. Any person or firm that is meeting with staff must provide a brief written summary of the issues planned for discussion. There is a field within the form to upload such documents. The SEC and CFTC plan to post these summaries to their websites, which will increase the transparency of this public engagement and promote open dialogue among parties interested in these issues.
Please include all substantive materials with the detailed agenda when submitting a meeting request. If the staff accept your meeting request, and you provide additional substantive materials in advance of the meeting, the staff may postpone the meeting to provide sufficient time to properly review the additional materials. This will help ensure productive and meaningful engagement with the public.
Please note that materials will be posted without modification; the SEC and CFTC do not edit personal identifying information from submissions. Only submit information that is suitable to appear publicly.
This form should not be used for submitting a tip or complaint (including a whistleblower complaint). To submit a tip or complaint regarding a potential violation of the federal securities laws, please use the SEC’s online form or mail your information to: SEC Complaint Center, 100 F Street NE, Washington, D.C. 20549-0213. To submit a tip or complaint regarding a potential violation of the federal commodities laws, please use the CFTC’s online form.
Request for Confidential Treatment of Materials
SEC
To request confidential treatment of a submission to SEC staff, please follow this detailed procedure, and please send the confidential material to harmonization@sec.gov, noting the request for confidential treatment. SEC staff may redact in part or withhold entirely from publication submitted material that is obscene or subject to copyright. Please read the SEC Privacy Act Notice to learn about how staff may use the information provided.
CFTC
To request confidential treatment of a submission to CFTC staff, please follow this detailed procedure, and please send the confidential material to harmonization@cftc.gov, noting the request for confidential treatment. CFTC staff may redact in part or withhold entirely from publication submitted material that is obscene or subject to copyright. Please read the CFTC Privacy Act Notice and the CFTC Submit a Privacy Act Request to learn about how staff may use the information provided.
The CFTC will post the information to www.cftc.gov. Only submit information suitable to appear publicly. The CFTC reserves the right, but shall have no obligation, to review, pre-screen, filter, redact, refuse, or remove any or all of a submission from www.cftc.gov that it may deem to be inappropriate for publication, such as obscene language.
Due to the high demand of meeting requests, staff are not able to meet with every party requesting a meeting. Because staff cannot accommodate all requests, only requests that are submitted with detailed agendas and a plan for a substantive discussion will be considered. The SEC and CFTC are committed to providing many paths for engagement including the Written Input webform and roundtables.
Important Notes Before Completing This Form:
- Please read the SEC Privacy Act Notice to learn about how staff may use the information you provide.
- Please read the CFTC Privacy Act Notice and the CFTC’s Submit A Privacy Act Request.
- Do not use this form to file a complaint or tip concerning potential securities law violations. Instead use the SEC’s form for tips, complaints, and referrals.
- Do not use this form to file a complaint or tip concerning potential violations of the federal commodities laws. Instead use the CFTC’s complaint form.
Alternatively, you can print this form and send it by mail to:
Office of the Chairman
U.S. Securities and Exchange Commission
100 F Street, NE
Washington, DC 20549
Office of the Chairman
Commodity Futures Trading Commission
Three Lafayette Centre
1155 21st Street, NW
Washington, DC 20581
- Do not use this form to apply for jobs at the SEC or CFTC. Visit USA Jobs to apply for opportunities.
- Do not use this form to submit comments on any pending or future rulemaking or SRO proposed rule change. Instead, please submit comments on those matters during the official comment periods as indicated for those matters.
