Contacting the Division of Trading and Markets

The Division of Trading and Markets is pleased to respond to inquiries relating to matters under its jurisdiction. You may call 202-551-5777 or send an email to tradingandmarkets@sec.gov (please include your telephone number). Faxes should be sent to 202-772-9273.

Please note: inquiries and communications for other Commission Divisions and offices will be forwarded to the appropriate office for a response.

Other Commission contacts:

Please see http://www.sec.gov/contact.shtml.

In addition, if you are calling from one of the sources listed below, or if you have questions about the issues listed below, please refer to these contacts for assistance from other offices in the SEC.

• Issuers, corporations, IPOs, Regulation D, Rule 144, corporation finance and accounting issues: please contact the Division of Corporation Finance at 202-551-3500 or by email at cfletters@sec.gov;
   
• Mutual funds (investment companies) or investment advisers: please contact the Division of Investment Management at 202-551-6825 or by email at imocc@sec.gov;
   
• Enforcement matters and enforcement tips: please write to enforcement@sec.gov.
   
• Registered Rep series licenses, including testing and status: please contact FINRA at 301-590-6500 or see www.finra.org.
   
• If you are an individual investor, please contact the Office of Investor Education and Advocacy at 1-800-SEC-0330 or visit the SEC´s Complaint Center to file a complaint, ask a question, or report a tip.
   
• Investors may also wish to see our on-line documents, including:
   
• Complaints
   
• Investor Information
   
• Online Publications
   
• Fast Answers
   
• BrokerCheck program

http://www.sec.gov/divisions/marketreg/mrcontact.htm