U.S. Securities & Exchange Commission
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U.S. Securities and Exchange Commission

Banking Regulators

The SEC routinely receives questions and complaints from investors about the investment products they have purchased. But not all investments are considered securities under the securities laws. For example, some products, such as notes that have been issued by a bank, may not be securities and are regulated by the banking authorities.

If you have a question or want to file a complaint, the following tells you how you can contact the appropriate banking regulator:

Board of Governors of the Federal Reserve System

Division of Consumer and Community Affairs
20th and C Streets, N.W., Stop 801
Washington, DC 20551
Phone: (202) 452-3693

The Board of Governors of the Federal Reserve oversees state-chartered banks and trust companies that belong to the Federal Reserve System.

Federal Deposit Insurance Corporation

Compliance and Consumer Affairs
550 17th Street, N.W.
Washington. DC 20429
Phone: (202) 942-3100
Toll-Free: (800) 934-3342

The Federal Deposit Insurance Corporation regulates state-chartered banks that do not belong to the Federal Reserve System.

Office of the Comptroller of the Currency

Office of the Ombudsman
Customer Assistance Unit
1301 McKinney Street, Suite 3710
Houston, TX 77010
Toll-Free: (800) 613-6743

The Office of the Controller of the Currency regulates banks that have the word "National" in or the letters "N.A." after their names.

National Credit Union Administration

Office of Public and Congressional Affairs
1755 Duke Street
Alexandria, VA 22314-3428
Phone: (703) 518-6330

The National Credit Union Administration regulates federally charted credit unions.

Office of Thrift Supervision

Consumer Programs
1700 G Street, N.W.
Washington, DC 20552
Phone: (202) 906-6237
Toll-Free (800) 842-6929

The Office of Thrift Supervision oversees federal savings and loans and federal savings banks.

At the Federal Deposit Insurance Corporation's website, you can also determine the regulator for a particular bank and trace inactive banks to their successor institutions.

http://www.sec.gov/answers/bankreg.htm

Modified:07/25/2001