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Contact Information

Division of Investment Management

April 10, 2013

If you have information about potential fraud or wrongdoing involving violations of the securities laws, please 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, please contact the Office of Investor Education and Advocacy at: 1-800-732-0330 or Help@sec.gov

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.

General Questions

Investment Adviser Registration and Reporting Forms (Including Form ADV)

Form PF

Disclosure for Investment Companies and Insured Investments

Exemptive Orders

Interpretive Guidance/No-Action or Interpretive Letters

Rulemaking

Shareholder Proposals

Select Forms

Other Inquiries

General Contact Information

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/foia

Investment 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)
(202) 386-4848 | E-mail: iard@finra.org 

Pending Investment Adviser Registrations

Office of Compliance Inspections and Examinations (OCIE)
(202) 551-7250 | E-mail: OCIERegistrationsInquiries@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

For frequently asked questions concerning Form ADV and IARD, please see:  Form ADV/IARD FAQs.

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.

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: IMOCA@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
Financial Analysis 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-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

Form N-SAR (Semi-annual report of registered investment companies)

Interpretive Advice
Financial Analysis 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

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

New York Regional Office
3 World Financial Center
Room 400
New York, NY 10281

Organization Chart

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