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Division of Corporation Finance
Key Telephone Numbers and E-Mail Addresses
Office of the Director
Name and Title |
Telephone Number |
John W. White
Director |
(202) 551-3110 |
Brian Breheny
Deputy Director (Legal and Regulatory) |
(202) 551-3120 |
Shelley Parratt
Deputy Director (Disclosure Operations) |
(202) 551-3130 |
Paul Belvin
Associate Director (Disclosure Operations) |
(202) 551-3150 |
James Daly
Associate Director (Disclosure Operations) |
(202) 551-3140 |
Paula Dubberly
Associate Director (Legal) |
(202) 551-3180 |
Mauri Osheroff
Associate Director (Regulatory Policy) |
(202) 551-3190 |
Barry Summer
Associate Director (Disclosure Operations) |
(202) 551-3160 |
Thomas Kim
Associate Director (Chief Counsel) |
(202) 551-3500 |
Wayne Carnall
Associate Director (Chief Accountant) |
(202) 551-3400 |
Assistant Director Offices
Office / Name and Title |
Telephone Number |
Health Care and Insurance
Jeffrey Riedler, Assistant Director |
(202) 551-3710 |
Consumer Products
H. Christopher Owings, Assistant Director |
(202) 551-3720 |
Computers and On Line Services
Barbara Jacobs, Assistant Director |
(202) 551-3730 |
Natural Resources and Food
H. Roger Schwall, Assistant Director |
(202) 551-3740 |
Structured Finance, Transportation and Leisure
Max Webb, Assistant Director |
(202) 551-3750 |
Manufacturing and Construction
Pamela Long, Assistant Director |
(202) 551-3760 |
Financial Services
Todd Schiffman, Assistant Director |
(202) 551-3770 |
Real Estate and Business Services
Karen Garnett, Assistant Director |
(202) 551-3780 |
Beverages, Apparel and Health Care Services
John Reynolds, Assistant Director |
(202) 551-3790 |
Electronics and Machinery
Peggy Fisher, Assistant Director |
(202) 551-3800 |
Telecommunications
Larry Spirgel, Assistant Director |
(202) 551-3810 |
Disclosure Support Offices
Office / Name and Title |
Telephone Number |
Office of Chief Counsel
Thomas Kim, Chief Counsel |
(202) 551-3500 |
The Office of Chief Counsel answers legal questions regarding all of the other provisions of the federal securities laws that the Division of Corporation Finance administers not covered by the other Division Offices discussed below. |
Office of Rulemaking
Elizabeth Murphy, Chief |
(202) 551-3430 |
The Office of Rulemaking answers questions about rulemaking involving the Division of Corporation Finance. |
Office of Mergers and Acquisitions
Michele Anderson, Chief |
(202) 551-3440 |
The Office of Mergers and Acquisitions answers questions regarding disclosure and other issues arising in merger and acquisition transactions, including proxy contests, exchange offers, tender offers, going private transactions, beneficial ownership reporting under the Williams Act, and other similar issues. |
Office of International Corporate Finance
Paul Dudek, Chief |
(202) 551-3450 |
The Office of International Corporate Finance answers questions on Securities Act Regulation S and offshore offerings, Securities Act Rule 144A, American depositary receipts, Exchange Act Rule 12g3-2(b) exemptions, and foreign issuer matters generally. |
Office of Small Business Policy
Gerald Laporte, Chief |
(202) 551-3460 |
The Office of Small Business Policy answers questions on disclosure and other issues relating to "small business issuers", limited, private, and intrastate offerings of securities, and offerings of securities by shell companies and blank check companies. |
Office of Chief Accountant
Wayne Carnall, Chief Accountant |
(202) 551-3400 |
The Office of Chief Accountant answers questions regarding financial reporting and related issues. |
Office of Enforcement Liaison
Mary Kosterlitz, Chief |
(202) 551-3420 |
The Office of Enforcement Liaison coordinates matters between the Division of Corporation Finance and the Division of Enforcement. |
Office of Disclosure Support
Patti Dennis, Chief |
(202) 551-3565 |
Office of Disclosure Support is responsible for administering the Division's document control and records management programs. |
Office of Global Security Risk
Cecilia Blye, Chief |
(202) 551-3470 |
The Office of Global Security Risk answers questions concerning disclosure of material information regarding global security risk-related issues. For further information on the Office of Global Security Risk, click here. |
Office of Information Technology
Cecile Peters, Chief |
(202) 551-3600 |
Office of Information Technology answers general EDGAR questions about Securities Act and Exchange Act filings the Division processes. |
E-Mail Addresses
cfletters@sec.gov
This mailbox may be used to send requests for interpretive or no-action letters to the Division of Corporation Finance. This mailbox also may be used for other correspondence, including questions. Remember that your e-mail is not confidential, and others may intercept and read your e-mail. The letters and questions 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. Questions will be processed by the staff in the same manner as telephone calls.
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.
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 and addressed to the Chief Counsel of the appropriate SEC division — Corporation Finance, Market Regulation or Investment Management — depending upon the nature of the specific matter involved.
rule-comments@sec.gov
You may submit comments on proposed rules either in writing, as explained on the first page of each rule proposal, or via e-mail. Proposed rules can be found on the SEC Proposed Rules page of the SEC website. Comments on proposed rules received either electronically or in writing will be made available to the public.
webtech@sec.gov
Questions about the EDGAR System and the EDGAR materials available on the EDGAR site may be directed to this address.
http://www.sec.gov/divisions/corpfin/cfcontact.shtml
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