Office of Compliance Inspections and Examinations
Examination Hotline for SEC-Registered Entities
May 12, 2017
The Office of Compliance Inspections and Examinations' Office of Chief Counsel administers an Examination Hotline in coordination with the SEC's Office of Inspector General, an independent office within the SEC that conducts audits of agency programs and investigates allegations of employee misconduct. On the hotline, registrants can direct their question, complaint or concern to either the Office of Chief Counsel or to the Office of Inspector General.
The hotline can be reached at 202-551-EXAM or via e-mail at the following link: Examination Hotline. Registrants that wish to speak with an Office of Inspector General staff member should call the hotline by phone and select the option that will route the call to the Office of Inspector General. Registrants that wish to file a complaint about an SEC examination directly with the Office of Inspector General should contact the Office of Inspector General Hotline by phone at 877-442-0854 or online at the following link: OIG Hotline Online. Registrants may request anonymity when speaking with the staff on either hotline.
The Examination Hotline is available to any registrant with a question, complaint or concern about an SEC examination. For information on how investors can file a tip or a complaint, please go to the following link: SEC Center for Complaints and Enforcement Tips.
Because the hotline is not intended to supplant on-going and routine dialogue with examination staff and supervisors throughout the examination process, generally the best place to raise a question, complaint, or concern is with the examiners conducting the examination. Most issues can be quickly and easily resolved at that level. Depending on the nature of the question, complaint, or concern, the registrant may want to raise it with the examiner's supervisor. Nonetheless, if a member of the regulated community has a question, complaint, or concern about an examination, it can contact the hotline directly for immediate attention.