Where To Go for Help
SEC Office of Investor Education and Advocacy
If you encounter a problem with an investment or have a question, you can contact the SEC’s Office of Investor Education and Advocacy. Please call us at our toll-free helpline, 800-732-0330, or email at email@example.com. You can also send us an online complaint form.
U.S. Securities and Exchange Commission
Office of Investor Education and Advocacy
100 F Street, NE
Washington, D.C. 20549-0213
You can view copies of the publications and brochures listed below on Investor.gov. The publications are available in both English and Spanish, and are available for download.
Ask Questions—Questions You Should Ask About Your Investments
Saving and Investing—A Roadmap to Your Financial Security Through Saving and Investing
Mutual Funds and Exchange-Traded Funds—A Guide for Investors
Variable Annuities—What You Should Know
Stopping Affinity Fraud in Your Community
Additional SEC Resources
Our online search tool at Investor.gov allows you to check the registration status and background of investment professionals. If you have been a victim of a scam, you can check the SEC’s website for information about SEC actions and investor claims funds.
While the SEC regulates and enforces the federal securities laws, each state has its own securities regulator that enforces what are known as blue sky laws. These laws cover many of the same activities the SEC regulates, such as the sale of securities and those who sell them, but are confined to securities sold or persons who sell them within each state.
In addition, your state securities regulator can tell you whether an investment is registered and whether an investment professional and his or her firm are licensed to do business in your state. Your state regulator also can check an investment professional’s disciplinary history. You can find out the name of your state securities regulator by visiting the website of the North American Securities Administrators Association, Inc. or by calling 202-737-0900.
Also if your state requires 403(b) and 457(b) plan vendors to register, it may provide resources to assist you in researching vendors. Vendors that are insurance companies generally register with your state’s insurance commission. For information on how to research insurance companies in your state contact your state insurance commission.
Internal Revenue Service: IRC 457(b) Deferred Compensation Plans and IRC 403(b) Tax Sheltered Annuity Plans
State Insurance Commission
Department of Labor, Employee Benefits Security Administration
Financial Industry Regulatory Authority, Fund Analyzer
The Office of Investor Education and Advocacy has provided this information as a service to investors. It is neither a legal interpretation nor a statement of SEC policy. If you have questions concerning the meaning or application of a particular law or rule, please consult with an attorney who specializes in securities law.
Modified: March 18, 2019