Additional Government Resources for Small Businesses

The SEC is committed to maintaining an environment in which small businesses and others that we regulate are free to raise questions, concerns, or complaints about our actions or polices. Our policies prohibit retaliation by the Commission or its staff against any small business that requests assistance from the SBA Ombudsman or complains about any SEC regulatory or enforcement action. SEC employees are expected to conduct investigations in a fair and professional manner. In addition, the Commission and all SEC staff must avoid any action that would create the appearance that they are violating the law or ethical standards, including any effort to retaliate against a small business.

The SEC aims to ensure a fair regulatory enforcement environment and always welcomes comments on how it can better assist small businesses. The SEC wishes to remind small businesses that the SBA's Ombudsman is available to assist small businesses with federal agency enforcement actions and compliance matters. You can contact the Small Business Regulatory Enforcement Ombudsman at http://www.sba.gov/ombudsman or toll free at 888-REG-FAIR (1-888-734-3247). The Ombudsman’s office receives comments from small businesses and annually evaluates federal agency enforcement activities for their responsiveness to the special needs of small businesses.

If you would like more information or have questions or comments about federal securities laws and regulations as they affect small businesses, you can contact the Office of Small Business Policy, in the SEC’s Division of Corporation Finance, at 202-551-3460.