Electronic Mailboxes at the Commission

General Information

The SEC invites public inquiries and comments through the use of its Internet electronic mailboxes. Because electronic mail (e-mail) on the Internet is not secure, you should not send confidential or sensitive information. Further, responses sent over Internet e-mail are not considered statements of SEC policy or Commission opinion.

To assist us in responding to your message quickly, please include your e-mail address, a postal mailing address, and a daytime telephone number in your message. In most of these boxes, incoming messages are acknowledged through an automatic receipt reply; however, please note that the volume of messages received by a Commission mailbox may delay a response to all inquiries.

A variety of SEC offices and divisions currently maintain mailboxes to receive messages from the public. Available mailboxes include:

https://tts.sec.gov/oiea/Complaint.html

This form may be used to file an investor complaint with the SEC.

https://tts.sec.gov/oiea/QuestionsAndComments.html

Use this form to submit general questions and inquiries about the federal securities laws or investments.

publicinfo@sec.gov

This mailbox may be used to obtain copies of SEC records and documents, historic Commission filings, special reports and studies, speeches, and testimony. Many of these documents can be obtained online by using the SEC search feature found in the upper right hand corner of our home page.

To learn more, access How to Request Public Documents.

Note: None of these three mailboxes should be used to submit filings under any circumstances. Such submissions will not be considered filed with the Commission. Submissions should be sent via EDGAR (if the company is mandated to file electronically); otherwise, filings should be addressed in writing and sent via postal mail or courier to the SEC at 100 F Street, NE, Washington, D.C. 20549.
 

certified@sec.gov

Requests for certified copies of records or documents should be submitted to certified@sec.gov. Questions about the EDGAR system and EDGAR materials should be directed to webtech@sec.gov.
 

Enforcement Complaint Center

Complaints and reports from any member of the public concerning possible violations of the federal securities laws can now be sent directly to the Enforcement Complaint Center. If you believe that you have been the victim of a securities-related fraud, through the Internet or otherwise, or if you believe that any person or entity may have violated or is currently violating the federal securities laws, we would like to hear from you. You can use the Enforcement Complaint Form located in our Enforcement Complaint Center. Our mission is to enforce the securities laws that seek to protect investors and ensure that the securities markets are fair and honest. By reporting suspected instances of fraudulent activity relating to securities, you may be able to prevent future losses to investors.
 

Enf-Search@sec.gov

This mailbox may be used to contact the SEC in response to its Press Release: 2001-103 (September 26, 2001), requesting that all securities-related entities search their records for any mention of individuals or organizations named either in President Bush's September 23, 2001 executive order, or on the FBI list of persons under investigation in connection with the World Trade Center or Pentagon attacks.

You may send information about possible relationships or transactions with any of the listed individuals or organizations to this mailbox, with the subject line "Enf-Search Request." Please provide your name, postal address, e-mail address, and a daytime telephone number where you can be reached easily. If you do not wish to send information to us via e-mail, you may send this information via U.S. mail to the following address:

United States Securities and Exchange Commission
100 F Street, NE
Mail Stop 5553
Washington, DC 20549-5553
Attention: Executive Order Records Search

DisabilityProgramOfficer@sec.gov

The Disability Program Office handles requests for reasonable accommodations for disability at the SEC. Employees, job applicants and members of the public attending SEC public programs who have a severe medical condition or a disability may request reasonable accommodations by using this mailbox or the SECInterpreter@sec.gov mailbox for Sign Language Interpreting services. These mailboxes should not be used to submit job applications. For more information about SEC job vacancies. Please go to the SEC Employment page of this site.

How to request accommodations (other than sign language interpreting)
Send an email to DisabilityProgramOfficer@sec.gov. Include your name, e-mail address, and telephone number(s). Describe the accommodation, explain why you need it and specify the dates places and times you will need it.

How to request SEC Sign Language Interpreting services
Send an email to SECInterpreter@sec.gov at least 5 days before the date you will need this service. In addition to your contact information, provide the name of the event or describe the activity for which interpreting is requested. Include date, time (start and end), address and room location. Allow at least 5 business days to request sign language interpreting services.

Public programs are posted on the SEC Calendar under Meetings and Other Events, http://www.sec.gov/about/upcoming-events.htm. Interpreting services are also available for members of the public who need them to interview for employment or to conduct other business with SEC personnel.

chairmanoffice@sec.gov

This mailbox may be used to send inquiries and communications relating to the work of the SEC to the Office of the Chairman. Remember that your e-mail is not confidential, and others may intercept and read your e-mail.

tradingandmarkets@sec.gov

This mailbox may be used to send inquiries, communications, requests for information, and correspondence to the Division of Trading and Markets, which oversees the operations of the nation's securities markets and market professionals. Topics of inquiry may include the Commission's rules applicable to national securities exchanges, national securities associations, clearing agencies, transfer agents, and broker-dealers (such as requirements regarding recordkeeping, customer protection, net capital, customer confirmation statements, margin and extensions of credit, penny stocks, soft dollar arrangements, and electronic delivery of information).

Inquiries also may address the Commission's rules with respect to trading practices, market manipulation, payment for order flow, and short sales. Investors with specific questions or complaints, however, should contact the Commission's Office of Investor Education and Advocacy at 202-551-6551 or by e-mail at help@sec.gov. Inquiries regarding the disciplinary history of particular persons associated with broker-dealers should be directed to the National Association of Securities Dealers, Inc. at 1-800-289-9999.

This mailbox may also be used to send requests for interpretive, exemption, or no-action letters to the Division of Trading and Markets. Remember that your e-mail is not confidential, and others may intercept and read your e-mail. At this time, requests must be in standard e-mail text or ASCII format so the staff can easily read and print the letters. The letters should include the telephone number of the requestor. These letters will be processed by the staff in the same manner as requests submitted in paper.

Section 36 Exemptive Applications

This mailbox may be used only for sending applications for exemption by Commission order under Section 36 of the Securities Exchange Act of 1934. An application must follow the procedures contained in Exchange Act Rule 0-12. You should also refer to Commission Release Number 34-39624 and 34-64913. Requests submitted electronically will be processed by the staff in the same manner as applications submitted on paper.

rule-comments@sec.gov

The public is encouraged to submit comments on proposed rules either in writing, as explained on the first page of each rule proposal, or via electronic mail. Proposed rules can be found on the SEC Proposed Rules page of this site. Comments on proposed rules received either electronically or in writing will be made available to the public.

foiapa@sec.gov

This mailbox should be used to send Freedom of Information Act requests to the SEC's Office of Freedom of Information and Privacy Act Operations for agency records that are not otherwise available through the public reference facilities.

This mailbox may not be used to send requests under the Privacy Act and requests for confidential treatment under the Commission's rules. Such requests should be addressed to:

Office of Freedom of Information and Privacy Act Operations
Securities and Exchange Commission
100 F Street, NE
Room 2736
Washington, DC 20549-2736

oig@sec.gov

This mailbox may be used to contact the SEC's Office of Inspector General. This mailbox should not be used to report possible violations of the federal securities laws by persons outside the SEC (see Enforcement Complaint Center ) or to make a complaint about your broker or an unfair sales practice (contact the Commission's Office of Investor Education and Advocacy at 202-551-6551 or by e-mail at help@sec.gov.)

The primary functions of the Office of Inspector General are to

1) perform audits of Commission operations, programs, activities, functions, and organizations, and

2) conduct investigations of alleged staff (and contractor) misconduct.

The Office accepts written or oral complaints, as well as anonymous allegations, although investigations are usually most effective if the complainant can provide specific information or documents upon request. The Office is also interested in receiving suggestions for possible improvements to the SEC's programs and operations.

You may send information about possible staff or contractor misconduct, or suggestions for improvements, to this mailbox. If you are comfortable in doing so, we ask that you provide your name, postal address, e-mail address, and a daytime telephone number where you can be reached easily. Remember that your e-mail is not confidential and others may intercept and read your e-mail. If you do not wish to send information to us via e-mail, you may telephone us at (202) 551-6061, FAX us at (202) 772-9265, or write to the following address:

Office of Inspector General
Securities and Exchange Commission
100 F Street, NE
Washington, DC 20549-2736

oca@sec.gov

Use the Office of the Chief Accountant mailbox for general inquiries on technical accounting and auditing matters, inquiries relating to information on Sarbanes-Oxley regulations, and independence-related matters.

smallbusiness@sec.gov

Use this electronic mailbox to ask questions and submit comments on the SEC's rules and programs affecting small businesses and private equity securities offerings, including venture capital financings. Included among these rules and programs are:

• Regulation D (Rules 504, 505 and 506), Section 3(a)(11) and Rule 147, which provide exemptions for limited securities offerings from the requirement that all securities offerings be registered with the SEC;
  
• Regulation S-B, which contains special rules designed to ease the legal and accounting burdens of smaller public companies that file registration statements and periodic reports with the SEC;
  
• Regulation A, which provides a simplified "registration-like" procedure for securities offerings not exceeding $5 million;
  
• Rule 701, which accommodates private companies that wish to grant stock options and other equity incentive compensation to employees; and
  
• the SEC Government-Business Forum on Small Business Capital Formation, a conference held annually in September.

You may also use this mailbox to seek information on the relationship between the federal and state securities law regulatory systems. You should include your telephone number in all messages sent to this mailbox.

This mailbox should not be used to submit requests for interpretative or "no action" letters or policy advice in areas other than those set forth immediately above. Such requests should be sent in traditional written form or by e-mail or on-line form and addressed to the Chief Counsel of the appropriate SEC division (Corporation Finance, Trading and Markets or Investment Management) depending upon the nature of the specific matter involved.

oms@sec.gov

Members of the public are invited to use the Office of Municipal Securities (OMS) electronic mailbox to provide their observations, concerns, and comments about the Commission's municipal securities activities or to contact the OMS Ombudsman.

All electronic messages should include the sender's e-mail address, postal address, and daytime telephone number so that a response may be provided. This mailbox may not be used to make requests for interpretative, "no action" letters, or policy advice and staff will not respond to such requests. Such matters should be addressed in writing and sent to the appropriate SEC division, depending upon the nature of the specific matter involved. These requests may be sent via postal mail to the Chief Counsels in the Corporation Finance, Trading and Markets, or Investment Management Divisions at SEC Headquarters, or via e-mail or on-line form to the Divisions of Corporation Finance and Trading and Markets.

You may submit questions to the Division of Corporation Finance about the Securities Act of 1933, the Securities Exchange Act of 1934 or the Trust Indenture Act of 1939 by completing an online form. Questions submitted electronically will be processed by the staff in the same manner as telephone calls.

Requests for no-action, interpretive or exemptive letters - other than requests made under Exchange Act Rule 14a-8 - to the Division of Corporation Finance's Office of Chief Counsel may be submitted by on-line form. For information about submitting a request to a Division Office other than the Office of Chief Counsel, please contact that office directly at the telephone number or email address listed here.

dcaoletters@sec.gov

This mailbox may be used to send requests for interpretations, accommodations, or waivers of financial reporting and disclosure requirements to the Division of Corporation Finance's Office of Chief Accountant. Remember that your e-mail is not confidential, and others may intercept and read your e-mail. In order to facilitate proper routing, please include in the body of the e-mail: company name, date of letter, correspondent's name, CIK number, Assistant Director Office No., and file number. Correspondence must be attached to the e-mail as a pdf file. Letters will be processed by the staff in the same manner as requests submitted in paper.

To contact the Division of Investment Management with a question about the Investment Company Act of 1940, the Investment Advisers Act of 1940, mutual funds, closed-end funds, UITs, interval funds, ETFs, investment advisers, variable insurance products (for example, variable annuities and variable life insurance contracts), IARD, and 13F filings, only, please visit Division of Investment Management: Directory of Telephone Numbers and E-Mail Addresses.

IARDLIVE@sec.gov

Questions about electronic filing by investment advisers through IARD should be sent to this mailbox. Before you send in a question, please check the Frequently Asked Questions and other information available on the IARD web page.

webtech@sec.gov

Questions about the EDGAR System and the EDGAR materials available on this site may be directed to this address.

webmaster@sec.gov

If you have suggestions for improving our Web server or discover a problem on the site, please advise the Commission's technical staff via e-mail at this mailbox.

recruit@sec.gov

If you are interested in employment opportunities with the Securities and Exchange Commission, you can send a message through this mailbox to the Office of Human Resources, which handles recruitment and hiring programs for the SEC. You may request general information about SEC positions or copies of specific vacancy announcements as well as ask other questions about SEC employment. When contacting this office, please include in your message your name, postal address, e-mail address, and a daytime telephone number where you can be reached so we can respond to your request. Your message should indicate the types of positions or jobs in which you are interested.

This mailbox should not be used to submit applications. If you are an attorney or law student, you may send your application to: Securities and Exchange Commission, 100 F Street, NE, Washington, DC 20549-0203, Attention: Recruitment Specialist. Other interested applicants should submit their applications to the address indicated in the vacancy announcement. Information about our vacancies can be found at the SEC Employment page of this site.

Regional Offices

newyork@sec.gov
This mailbox may be used to send inquiries, communications, or requests for information about the work of the New York Regional Office in New York and New Jersey. When contacting this office, please include in your message your name, postal address, e-mail address, and a daytime telephone number where you can be reached.

To report suspected violations of federal securities laws, or if you suspect you have been the victim of a securities-related fraud, please use our online forms to send us a tip, complaint, or referral.

boston@sec.gov
This mailbox may be used to send inquiries, communications, and requests for information about the work of the Boston Regional Office in Connecticut, Maine, Massachusetts, New Hampshire, Vermont and Rhode Island. When contacting this office, please include in your message your name, postal address, e-mail address, and a daytime telephone number where you can be reached.

To report suspected violations of federal securities laws, or if you suspect you have been the victim of a securities-related fraud, please use our online forms to send us a tip, complaint, or referral.

philadelphia@sec.gov
This mailbox may be used to send inquiries, communications, and requests for information about the work of the Philadelphia Regional Office in Delaware, the District of Columbia, Maryland, Pennsylvania, Virginia, and West Virginia. When contacting this office, please include in your message your name, postal address, e-mail address, and a daytime telephone number where you can be reached.

To report suspected violations of federal securities laws, or if you suspect you have been the victim of a securities-related fraud, please use our online forms to send us a tip, complaint, or referral.

miami@sec.gov
This mailbox may be used to send inquiries, communications, or requests for information about the work of the Miami Regional Office in Florida, Mississippi, Louisiana, U.S. Virgin Islands, and Puerto Rico. When contacting this office, please include in your message your name, postal address, e-mail address, and a daytime telephone number where you can be reached.

To report suspected violations of federal securities laws, or if you suspect you have been the victim of a securities-related fraud, please use our online forms to send us a tip, complaint, or referral.

atlanta@sec.gov
This mailbox may be used to send inquiries, communications, and requests for information relating to the work of the Atlanta Regional Office in Georgia, North Carolina, South Carolina, Alabama, and Tennessee. When contacting this office, please include in your message your name, postal address, e-mail address, and a daytime telephone number where you can be reached.

To report suspected violations of federal securities laws, or if you suspect you have been the victim of a securities-related fraud, please use our online forms to send us a tip, complaint, or referral.

chicago@sec.gov
This mailbox may be used to send inquiries, communications, and requests for information about the work of the Chicago Regional Office in Illinois, Indiana, Iowa, Kentucky, Michigan, Minnesota, Missouri, Ohio, and Wisconsin. When contacting this office, please include in your message your name, postal address, e-mail address, and a daytime telephone number where you can be reached.

To report suspected violations of federal securities laws, or if you suspect you have been the victim of a securities-related fraud, please use our online forms to send us a tip, complaint, or referral.

denver@sec.gov
This mailbox may be used to send inquiries, communications, and requests for information about the work of the Denver Regional Office in Colorado, Nebraska, New Mexico, North Dakota, South Dakota, and Wyoming. When contacting this office, please include in your message your name, postal address, e-mail address, and a daytime telephone number where you can be reached.

To report suspected violations of federal securities laws, or if you suspect you have been the victim of a securities-related fraud, please use our online forms to send us a tip, complaint, or referral.

dfw@sec.gov
This mailbox may be used to send inquiries, communications, and requests for information relating to the work of the Fort Worth Regional Office in Arkansas, Kansas, Oklahoma, and Texas. When contacting this office, please include in your message your name, postal address, e-mail address, and a daytime telephone number where you can be reached.

To report suspected violations of federal securities laws, or if you suspect you have been the victim of a securities-related fraud, please use our online forms to send us a tip, complaint, or referral.

saltlake@sec.gov
This mailbox may be used to send inquiries, communications, and requests for information relating to the work of the Salt Lake Regional Office in Utah. When contacting this office, please include in your message your name, postal address, e-mail address, and a daytime telephone number where you can be reached.

To report suspected violations of federal securities laws, or if you suspect you have been the victim of a securities-related fraud, please use our online forms to send us a tip, complaint, or referral.

losangeles@sec.gov
This mailbox may be used to send inquiries, communications, and requests for information about the work of the Los Angeles Regional Office in Southern California (zip codes 93599 and below except for 93200-93299), Arizona, Nevada, Hawaii, and Guam. When contacting this office, please include in your message your name, postal address, e-mail address, and a daytime telephone number where you can be reached.

To report suspected violations of federal securities laws, or if you suspect you have been the victim of a securities-related fraud, please use our online forms to send us a tip, complaint, or referral.

sanfrancisco@sec.gov
This mailbox may be used to send inquiries, communications, and requests for information relating to the work of the San Francisco Regional Office in Northern California (zip codes 93600 and above plus 93200 – 93299), Washington, Oregon, Alaska, Idaho, and Montana. When contacting this office, please include in your message your name, postal address, e-mail address, and a daytime telephone number where you can be reached.

To report suspected violations of federal securities laws, or if you suspect you have been the victim of a securities-related fraud, please use our online forms to send us a tip, complaint, or referral.