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U.S. Securities and Exchange Commission

Division of Investment Management
Frequently Requested Telephone Numbers, E-Mail Addresses, and Other Contacts

Important Notes
 
Before Contacting the Division of Investment Management
Please Note the Following:
  Guidance provided by the staff via the telephone or email is informal and is not binding on the staff or the Commission.
  Please send your questions and comments to ONE SEC Office ONLY. If you send your question/comment to the wrong SEC Office, do not worry: it will be forwarded to the correct Office for you!
  If you are an attorney or compliance officer submitting a legal question, we request that you research all available legal authority before contacting us, and include the results of your research with your question.
  When submitting tips, complaints, questions, or other information to the SEC, please read the Privacy Act Statement located at: www.sec.gov/privacy.htm.

Division of Investment Management Contacts

Tips/Complaints, Document Requests, Lost Certificates

*   To File Tips and Complaints.
 See: SEC Complaint Center at http://www.sec.gov/complaint.shtml.
 Office: Office of Investor Education and Advocacy
  Phone: (202) 551-6551; 1-800-SEC-0330
 Form: https://tts.sec.gov/oiea/Complaint.html
 
*  

Requests for Copies of No-Action Letters, SEC Releases, SEC Forms, and Other SEC Documents and Publications.

 Refer to our Fast Answer: How to Request Public Documents.
 
*  

Assistance with Lost or Old Stock Certificates, Old Investments, Locating Companies.

 Office: Office of Investor Education and Advocacy
  Phone: (202) 551-6551; 1-800-SEC-0330
 Form: https://tts.sec.gov/oiea/QuestionsAndComments.html


Investment Adviser and Investment Advisers Act Issues

*  

Questions about Investment Adviser Registration, Adviser Filings, Form ADV, IARD.

 *First, read the information located at www.sec.gov/iard.
 Office: Office of Investment Adviser Regulation
  Phone: (202) 551-6999 E-mail: IARDLIVE@sec.gov
 
*  

Questions about Investment Adviser Rulemaking and Exemptive Applications.

 Office: Office of Investment Adviser Regulation
  Phone: (202) 551-6787 E-mail: IARules@sec.gov
 
*  Looking Up, or Getting a Copy of, an Investment Adviser's Form ADV.
  Go to: http://www.adviserinfo.sec.gov/IAPD/Content/Search/iapd_OrgSearch.aspx; or submit a request to us.
 
*  Accounting and Financial Reporting Questions for SEC-Registered Investment Advisers.
 Office: Office of Chief Accountant, Division of Investment Management
  Phone: (202) 551-6918 E-mail: IMOCA@sec.gov
 
*  Other Investment Adviser Questions/Comments.
 Office: Office of Chief Counsel / Public Inquiry
  Phone: (202) 551-6865 E-mail: IMOCC@sec.gov


Investment Company and Investment Company Act Issues

*Note: The term "investment company" refers to: mutual funds, closed-end funds, UITs, interval funds, and ETFs.
 
*  How to Start a Mutual Fund or Other Investment Company.
 See: www.sec.gov/divisions/investment/invcoreg121504.htm
 
*  General Information on the Regulation of Mutual Funds and Other Investment Companies.
 See: www.sec.gov/divisions/investment/invcoreg121504.htm.
 
*  Looking up Investment Company Filings.
 Go to: http://www.sec.gov/edgar/searchedgar/companysearch.html
 
*  Questions about Investment Company Exemptive Applications.
 Office: Office of Investment Company Regulation
  Phone: (202) 551-6821 E-mail: IMOCC@sec.gov
 
*  EDGAR Filing Questions for Investment Companies.
 Office: Office of Legal and Disclosure, EDGAR
  Phone: (202) 551-6989 E-mail: IMOCC@sec.gov
 See also: www.sec.gov/info/edgar.shtml
 
*  Accounting and Financial Reporting Questions for Investment Companies.
 Office: Office of Chief Accountant, Division of Investment Management
  Phone: (202) 551-6918 E-mail: IMOCA@sec.gov
 
*  Questions about Forms N-SAR and 24f-2.
 Office: Office of Financial Analysis
  Phone: (202) 551-6703 E-mail: IMOCC@sec.gov
 
*  Questions about Forms N-CSR, N-Q, and N-PX.
 Office: Office of Chief Counsel / Public Inquiry
  Phone: (202) 551-6865 E-mail: IMOCC@sec.gov
 
*  All other Questions about Investment Companies and the Investment Company Act.
 Office: Office of Chief Counsel / Public Inquiry
  Phone: (202) 551-6865 E-mail: IMOCC@sec.gov


Submission of a Request for No-Action Relief Under Rule 14a-8 Under the Securities Exchange Act of 1934 by Registered Investment Companies and Business Development Companies

*  To Submit a Request and Related Correspondence.
 Office: Office of Disclosure and Review
  Submission by Mail: U.S. Securities and Exchange Commission
Division of Investment Management
Office of Disclosure and Review
100 F Street, N.E.
Washington, D.C. 20549-8626
  Submission by E-Mail: IMshareholderproposals@sec.gov
 
*  Questions Regarding the Submission of a Request or Related Correspondence.
 Office: Office of Disclosure and Review
  Phone: (202) 551-6921 or (202) 551-6925
  E-mail: IMshareholderproposals@sec.gov


13F Filings

*  Questions about Form 13F and Required 13F filings for "Institutional Investment Managers"
 *First, read our FAQs at: http://www.sec.gov/divisions/investment/13ffaq.htm
 Office: Office of Chief Counsel / Public Inquiry
  Phone: (202) 551-6865 E-mail: IMOCC@sec.gov


Variable Insurance Products (variable annuities and variable life insurance).

*  Questions about Variable Insurance Products.
 *First, see our brochure on variable annuities at: http://www.sec.gov/investor/pubs/varannty.htm.
 Office: Office of Insurance Products
  Phone: (202) 551-6795 E-mail: IMOCC@sec.gov


Investment Clubs and Hedge Funds

*  Investment Clubs.
 *First, read the investment club discussion, located at: http://www.sec.gov/investor/pubs/invclub.htm. See also: www.sec.gov/divisions/investment/invcoreg121504.htm.
 Office: Office of Chief Counsel / Public Inquiry
  Phone: (202) 551-6865 E-mail: IMOCC@sec.gov
 
*  Hedge Funds.
 *First, read the comprehensive staff report on hedge funds, located at: http://www.sec.gov/news/studies/hedgefunds0903.pdf; the investor education discussion, located at: http://www.sec.gov/answers/hedge.htm; the December 2004 rule adoption release, located at: http://www.sec.gov/rules/final/ia-2333.htm; and the information located at: www.sec.gov/divisions/investment/invcoreg121504.htm
 Office: Office of Chief Counsel / Public Inquiry
  Phone: (202) 551-6865 E-mail: IMOCC@sec.gov


Series Licensing Questions

*  Questions about Series Licenses (e.g., Series 7, 65, etc.).
 Office: The Division of Trading and Markets
  Phone: (202) 551-5777 E-mail: TradingandMarkets@sec.gov


13D/G Questions

*  Questions about 13D/G Filings.
 Office: The Division of Corporation Finance, Mergers and Acquisitions
  Phone: (202) 551-3440   Questions also may be submitted by on-line form

http://www.sec.gov/divisions/investment/imcontact.htm

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Modified: 03/16/2011