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Filer Support Contact List

Dec. 8, 2016

(202) 551-8900

Option #1: Fee Related Filings

  • Account Balance
  • Fedwire Status
  • Current Fee Rate
  • Refunds of Unused Funds

Option #3: Filer Technical Support

  • General Instructions for Form ID, Access Requests, and Company Updates
  • Form ID for Filing Agents, Investment Management and Trading and Markets Filers
  • Troubleshooting an Error Message
  • Connection Error with EDGAR
  • Formatting Documents
  • Transmitting Documents
  • Any Problems Submitting Documents
  • Update company information (COUPDAT and SCUPDAT)

Option #4: Corporation Finance Filings

  • Become a Corporation Finance Filer
  • Form ID or Passphrase Update
  • Form D Filings
  • SIC Codes
  • Update Registrant Information
  • Duplicate or removing a Corporation Finance filing
  • Hardship Exemption Requests
  • Anything relating to specific Rules and Regulations

Option #5: Investment Management Filings

  • Filings under the 1940 Act Rules
  • Institutional investment managers subject to review by Division of Investment Management
  • Help with investment company filings
  • Duplicate or removing an Investment Company filing
*For Frequently Requested Telephone Numbers, E-Mail Addresses, and Other Contacts for the Division of Investment Management, click here. 

Option #6: Transfer Agents subject to review

Option #7: Large Traders and Form 13H

Option #8: Municipal Advisor Registration

      Forms MA, MA-I, MA-W, MA-NR

Office of Mergers and Acquisitions

(202) 551-3440

Office of Investor Education and Advocacy

(202) 551-6551
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