Division of Investment Management Contacts
General guidelines
- If you are an attorney or compliance officer submitting a question, we request that you research all available legal authority before contacting us, 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 available here.
- 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 of contents below to select the appropriate office based on the subject of your inquiry, and send your question to one SEC office only. If you send it to the wrong office, it will be forwarded to the correct office for you.
- IMPORTANT: Please do not send sensitive information – such as PII or proprietary information – in correspondence to us, as email is not necessarily secure against interception. For more information, see SEC Web Site Privacy and Security.
Investment Adviser Registration and Reporting Forms (Including Form ADV)
Disclosure for Investment Companies and Insured Investments
Interpretive Guidance/No-Action or Interpretive Letters
General Questions
Investment Advisers
Chief Counsel's Office (CCO)
(202) 551-6825 | E-mail: IMOCC@sec.gov
Investment Companies (mutual funds, closed-end funds, business development companies, unit investment trusts, interval funds and exchange-traded funds) and Insured Investments (variable annuities and variable life insurance)
Chief Counsel's Office (CCO)
(202) 551-6825 | E-mail: IMOCC@sec.gov
Freedom of Information Act (FOIA) Requests
(202) 551-7900 | https://www.sec.gov/page/foiaInvestment Adviser Registration and Reporting Forms (Forms ADV, ADV-E, ADV-H, ADV-NR, ADV-W)
Filer Support and Technical Questions (ID, password, account setup, how to use IARD or file forms)
Financial Industry Regulatory Authority (FINRA)(240) 386-4848 | E-mail: iard@finra.org
Pending Investment Adviser Registrations
Division of Examinations(202) 551-7250 | E-mail: EXAMSRegistrationsInquiries@sec.gov
Interpretive Questions (investment adviser registration, exempt reporting adviser reports, Forms ADV, ADV-E, ADV-H, ADV-NR, ADV-W)
Investment Adviser Regulation Office (IARO)
(202) 551-6999 | E-mail: IARDLIVE@sec.gov
Note: for the quickest reply, please send a detailed email
Investment Adviser Representatives (Form U4 and U5 Filings)
State Securities Regulator (contact information available from North American Securities Administrators Association (NASAA))
(202) 737-0900 | Website: http://www.nasaa.org/
Form PF (Reporting Form for Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors)
Filer Support and Technical Questions (ID, password, account setup, how to use PFRD or file form)
Financial Industry Regulatory Authority
(240) 386-4848 | E-mail: pfrdsupport@finra.org
Interpretive Questions
Investment Adviser Regulation Office (IARO)
E-mail: FormPF@sec.gov
For frequently asked concerning Form PF, please see: Form PF FAQs.
REMINDER: Please do not send sensitive information – such as PII or proprietary information – in correspondence to us, as email is not necessarily secure against inception. For example, in describing your question, please do not provide specific information that you would provide in response to questions on Form PF, or a copy (or screenshot) of a completed Form PF report.
Disclosure for Investment Companies and Insured Investments
Disclosure Review Office (DRO)
(202) 551-6921 | E-mail: IMOCC@sec.gov
Exemptive Orders
Investment Companies and Insured Investments
Chief Counsel's Office (CCO)
(202) 551-6825 | E-mail: IMOCC@sec.gov
Interpretive Guidance/No-Action or Interpretive Letters
Accounting and Financial Filings
Chief Accountant's Office (CAO)
(202) 551-6918 | E-mail: IM-CAO@sec.gov
Investment Advisers
Chief Counsel's Office (CCO)
(202) 551-6825 | E-mail: IMOCC@sec.gov
Investment Companies and Insured Investments
Chief Counsel's Office (CCO)
(202) 551-6825 | E-mail: IMOCC@sec.gov
Rulemaking
Investment Advisers
Investment Adviser Regulation Office (IARO)
(202) 551-6787 | E-mail: IARrules@sec.gov
Investment Companies and Insured Investments
Investment Company Rulemaking Office (ICRO)
(202) 551-6792
Shareholder Proposals Involving Investment Companies and Insured Investments
No-Action Relief Request or Correspondence
Disclosure Review Office
(202) 551-6921 | E-mail: IMshareholderproposals@sec.gov
Submission by Mail
U.S. Securities and Exchange Commission
Division of Investment Management
Disclosure Review Office
100 F Street, NE
Washington, D.C. 20549-8626
Select Forms
Form 13F (Institutional Investment Manager Report)
Interpretive Advice
Chief Counsel's Office/ Public Inquiry
Phone: (202) 551-6825 | E-mail: IMOCC@sec.gov
For frequently asked questions concerning Form 13F, please see: Form 13F FAQs.
Filer Support
Public Inquiry
Phone: (202) 551-8900 (#3 – IT Technical Support) (#5 – IM Filer Support)| E-mail: IMOCC@sec.gov
Form 24f-2 (Annual notice of securities sold pursuant to Rule 24-f2)
Interpretive Advice
Analytics Office
Phone: (202) 551-6703 | E-mail: IMOCC@sec.gov
Filer Support
Disclosure Review Office, EDGAR Support
Phone: (202) 551-6989 | E-mail: IMOCC@sec.gov
Form N-1A (Registration form for open-end management investment companies)
Interpretive Advice
Chief Counsel's Office/ Public Inquiry
Phone: (202) 551-6825 | E-mail: IMOCC@sec.gov
Filer Support
Disclosure Review Office, EDGAR Support
See also: www.sec.gov/info/edgar.shtml
Phone: (202) 551-6989 | E-mail: IMOCC@sec.gov
Form N-2 (Registration statement for closed-end management investment companies)
Interpretive Advice
Chief Counsel's Office/ Public Inquiry
Phone: (202) 551-6825 | E-mail: IMOCC@sec.gov
Filer Support
Disclosure Review Office, EDGAR Support
See also: www.sec.gov/info/edgar.shtml
Phone: (202) 551-6989 | E-mail: IMOCC@sec.gov
Form N-3 (Registration statement of separate accounts organized as management investment companies)
Interpretive Advice
Chief Counsel's Office/ Public Inquiry
Phone: (202) 551-6825 | E-mail: IMOCC@sec.gov
Filer Support
Disclosure Review Office, EDGAR Support
See also: www.sec.gov/info/edgar.shtml
Phone: (202) 551-6989 | E-mail: IMOCC@sec.gov
Form N-4 (Registration statement of separate accounts organized as unit investment trusts)
Interpretive Advice
Chief Counsel's Office/ Public Inquiry
Phone: (202) 551-6825 | E-mail: IMOCC@sec.gov
Filer Support
Disclosure Review Office, EDGAR Support
See also: www.sec.gov/info/edgar.shtml
Phone: (202) 551-6989 | E-mail: IMOCC@sec.gov
Form N-6 (Registration statement for separate accounts organized as unit investment trusts that offer variable life insurance policies)
Interpretive Advice
Chief Counsel's Office/ Public Inquiry
Phone: (202) 551-6825 | E-mail: IMOCC@sec.gov
Filer Support
Disclosure Review Office, EDGAR Support
See also: www.sec.gov/info/edgar.shtml
Phone: (202) 551-6989 | E-mail: IMOCC@sec.gov
Form N-8A (Notification of registration filed pursuant to Section 8(a) of Investment Company Act of 1940)
Interpretive Advice
Chief Counsel's Office/ Public Inquiry
Phone: (202) 551-6825 | E-mail: IMOCC@sec.gov
Filer Support
Disclosure Review Office, EDGAR Support
Phone: (202) 551-6989 | E-mail: IMOCC@sec.gov
Form N-8F (Application for deregistration of certain registered investment companies)
Interpretive Advice
Chief Counsel's Office/ Public Inquiry
Phone: (202) 551-6825 | E-mail: IMOCC@sec.gov
Filer Support
Disclosure Review Office, EDGAR Support
Phone: (202) 551-6989 | E-mail: IMOCC@sec.gov
Form N-14 (Form for the registration of securities issued in business combination transactions by investment companies and business development companies)
Interpretive Advice
Chief Counsel's Office/ Public Inquiry
Phone: (202) 551-6825 | E-mail: IMOCC@sec.gov
Filer Support
Disclosure Review Office, EDGAR Support
Phone: (202) 551-6989 | E-mail: IMOCC@sec.gov
Form N-54A (Notification of election to be subject to Sections 55-65 of the Investment Company Act of 1940)
Interpretive Advice
Chief Counsel's Office/ Public Inquiry
Phone: (202) 551-6825 | E-mail: IMOCC@sec.gov
Filer Support
Disclosure Review Office, EDGAR Support
Phone: (202) 551-6989 | E-mail: IMOCC@sec.gov
Form N-54C (Notification of withdrawal of election to be subject to Sections 55-65 of the Investment Company Act of 1940)
Interpretive Advice
Chief Counsel's Office/ Public Inquiry
Phone: (202) 551-6825 | E-mail: IMOCC@sec.gov
Filer Support
Disclosure Review Office, EDGAR Support
Phone: (202) 551-6989 | E-mail: IMOCC@sec.gov
Form N-CEN (Annual report for registered investment companies)
Interpretive Advice
Analytics Office
Phone: (202) 551-6703 | E-mail: IMOCC@sec.gov
Filer Support
Disclosure Review Office, EDGAR Support
Phone: (202) 551-6989 | E-mail: IMOCC@sec.gov
Form N-CSR (Certified shareholder report of registered management investment companies)
Interpretive Advice
Chief Counsel's Office/ Public Inquiry
Phone: (202) 551-6825 | E-mail: IMOCC@sec.gov
Filer Support
Disclosure Review Office, EDGAR Support
Phone: (202) 551-6989 | E-mail: IMOCC@sec.gov
Form N-MFP (Monthly Schedule of Portfolio Holdings of Money Market Funds)
Interpretive Advice
Chief Counsel's Office/ Public Inquiry
Phone: (202) 551-6825 | E-mail: IMOCC@sec.gov
For frequently asked questions concerning Form N-MFP, please see: N-MFP FAQs 1, N-MFP FAQs 2, N-MFP FAQs 3, and N-MFP FAQs 4.
Filer Support
Disclosure Review Office, EDGAR Support
Phone: (202) 551-6989 | E-mail: IMOCC@sec.gov
Form N-PX (Annual Report of Proxy Voting Record of Registered Management Investment Company)
Interpretive Advice
Chief Counsel's Office/ Public Inquiry
Phone: (202) 551-6825 | E-mail: IMOCC@sec.gov
Filer Support
Disclosure Review Office, EDGAR Support
Phone: (202) 551-6989 | E-mail: IMOCC@sec.gov
Form N-Q (Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company)
Interpretive Advice
Chief Counsel's Office/ Public Inquiry
Phone: (202) 551-6825 | E-mail: IMOCC@sec.gov
Filer Support
Disclosure Review Office, EDGAR Support
Phone: (202) 551-6989 | E-mail: IMOCC@sec.gov
Series Licensing (e.g., Series 6, 7, 63, 65, 66)
Division of Trading and Markets
Phone: (202) 551-5777 | E-mail: TradingandMarkets@sec.gov
Form 13H
Division of Trading and Markets
Phone: (202) 551-5777 | E-mail: TradingandMarkets@sec.gov
Forms 13D/13G
Division of Corporation Finance, Mergers and Acquisitions
Phone: (202) 551-3440 | Questions may be submitted by on-line form
General Contact Information
Main Phone
(202) 551-6720
Headquarters
U.S. Securities and Exchange Commission
Division of Investment Management
100 F Street, NE
Washington, DC 20549
Last Reviewed or Updated: July 17, 2017