We welcome written requests for no-action, interpretive, exemptive and waiver letters relating to the areas of the federal securities laws that the Division administers and interprets. Please submit such requests through this webpage as instructed below.

  • If you wish to submit a request for telephonic interpretive advice and other assistance, please do not submit the request through this form.  Please complete an online request for telephonic assistance.
  • If you wish to file an investor complaint, please do not submit the complaint through this form. Please use our online Investor Complaint Form.
  • Requests relating to shareholder proposals submitted under Exchange Act Rule 14a-8 should be sent to shareholderproposals@sec.gov.
  • For information relating to waivers of the disqualification or ineligible issuer provisions under the Securities Act or Exchange Act, please contact the Office of Enforcement Liaison at (202) 551-3420.
  • Please provide your contact information and indicate whether you are submitting an initial or revised request.
  • For assistance in preparing a request for a no-action, interpretive, exemptive and waiver letters, please refer to General Information below.
  • For information about how to request confidential treatment under Rule 83, please refer to our Privacy Act Notice.
  • Please read our Privacy Act Notice to learn about how we may use the information you send to us.

For more information about submitting a request, please contact the relevant Division Office directly at the telephone number or email address listed in our Contact Information page.

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