|
Division of Investment Management
|
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. |
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 | |
| ||
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 | |
| ||
*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 | ||
Phone: (202) 551-6825 | E-mail: IMOCC@sec.gov | |
All other Questions about Investment Companies and the Investment Company Act. | ||
Office: Office of Chief Counsel | ||
Phone: (202) 551-6825 | E-mail: IMOCC@sec.gov | |
| ||
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 | ||
Phone: (202) 551-6825 | E-mail: IMOCC@sec.gov | |
| ||
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. | ||
*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 | ||
Phone: (202) 551-6825 | 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 | ||
Phone: (202) 551-6825 | E-mail: IMOCC@sec.gov | |
| ||
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 | |
| ||
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
Home | Previous Page | Modified: 01/15/2008 |