Investment Management: Directory of Telephone Numbers and E-Mail Addresses

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

E-mail: Help@sec.gov

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

E-mail: Help@sec.gov

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, Part I.

Go to: http://www.adviserinfo.sec.gov/IAPD/Content/Search/iapd_OrgSearch.aspx; or submit a request to us. .

Currently, ADV Part II is not available on-line from the SEC (though we hope to have it available on-line soon). The Commission has not required advisers to file Part II since 2000. You may submit a request to obtain copies of Part IIs filed prior to 2000.

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

Phone: (202) 551-6825

E-mail: IMOCC@sec.gov