Electronic Mailboxes at the Commission

General Information

The SEC invites public inquiries and comments through the use of its Internet electronic mailboxes. Because electronic mail (e-mail) on the Internet is not secure, you should not send confidential or sensitive information. Further, responses sent over Internet e-mail are not considered statements of SEC policy or Commission opinion.

To assist us in responding to your message quickly, please include your e-mail address, a postal mailing address, and a daytime telephone number in your message. In most of these boxes, incoming messages are acknowledged through an automatic receipt reply; however, please note that the volume of messages received by a Commission mailbox may delay a response to all inquiries.

A variety of SEC offices and divisions currently maintain mailboxes to receive messages from the public. Available mailboxes include:

publicinfo@sec.gov

The Office of Filings and Information Services (OFIS) may be contacted via its electronic mailbox for information pertaining to filings (electronic and/or paper) made with the Commission, such as filing requirements, related fee information, and written requests for copies of documents including requests for certified copies.

This mailbox should not be used to submit filings under any circumstances. Such submissions will not be considered filed with the Commission. Submissions should be sent via EDGAR (if the company is mandated to file electronically); otherwise, filings should be addressed in writing and sent via postal mail or courier to the Branch of Document Control at 450 Fifth Street, N.W., Stop 1-4, Washington, D.C. 20549.

enforcement@sec.gov

Complaints and reports from any member of the public concerning possible violations of the federal securities laws can now be sent directly to the electronic mailbox of the Division of Enforcement. If you believe that you have been the victim of a securities-related fraud, through the Internet or otherwise, or if you believe that any person or entity may have violated or is currently violating the federal securities laws, we would like to hear from you. You can e-mail us directly at enforcement@sec.gov or you can submit the Enforcement Complaint Form located in our Enforcement Complaint Center. Our mission is to enforce the securities laws that seek to protect investors and ensure that the securities markets are fair and honest. By reporting suspected instances of fraudulent activity relating to securities, you may be able to prevent future losses to investors.

Enf-Search@sec.gov

This mailbox may be used to contact the SEC in response to its Press Release: 2001-103 (September 26, 2001), requesting that all securities-related entities search their records for any mention of individuals or organizations named either in President Bush's September 23, 2001 executive order, or on the FBI list of persons under investigation in connection with the World Trade Center or Pentagon attacks.

You may send information about possible relationships or transactions with any of the listed individuals or organizations to this mailbox, with the subject line "Enf-Search Request." Please provide your name, postal address, e-mail address, and a daytime telephone number where you can be reached easily. If you do not wish to send information to us via e-mail, you may send this information via U.S. mail to the following address:

United States Securities and Exchange Commission
450 Fifth St., NW
Mail Stop 8-1
Washington, DC 20549-0801
Attention: Executive Order Records Search

chairmanoffice@sec.gov

This mailbox may be used to send inquiries and communications relating to the work of the SEC to the Office of the Chairman. Remember that your e-mail is not confidential, and others may intercept and read your e-mail.

marketreg@sec.gov

This mailbox may be used to send inquiries, communications, requests for information, and correspondence to the Division of Market Regulation, which oversees the operations of the nation's securities markets and market professionals. Topics of inquiry may include the Commission's rules applicable to national securities exchanges, national securities associations, clearing agencies, transfer agents, and broker-dealers (such as requirements regarding recordkeeping, customer protection, net capital, customer confirmation statements, margin and extensions of credit, penny stocks, soft dollar arrangements, and electronic delivery of information).

Inquiries also may address the Commission's rules with respect to trading practices, market manipulation, payment for order flow, and short sales. Investors with specific questions or complaints, however, should contact the Commission's Office of Investor Education and Assistance at 202-942-7040 or by e-mail at help@sec.gov. Inquiries regarding the disciplinary history of particular persons associated with broker-dealers should be directed to the National Association of Securities Dealers, Inc. at 1-800-289-9999.

This mailbox may also be used to send requests for interpretive, exemption, or no-action letters to the Division of Market Regulation. (Note: Exemptive relief applications made under Section 36 must be sent to exemptapp@sec.gov.) Remember that your e-mail is not confidential, and others may intercept and read your e-mail. At this time, requests must be in standard e-mail text or ASCII format so the staff can easily read and print the letters. The letters 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.

exemptApp@sec.gov

This mailbox may be used only for sending applications for exemption by Commission order under Section 36 of the Securities Exchange Act of 1934. An application must follow the procedures contained in Exchange Act Rule 0-12. Electronic applications must be sent in standard e-mail text or ASCII format. You should also refer to Commission Release Number 34-39624. Requests submitted electronically will be processed by the staff in the same manner as applications submitted on paper.

rule-comments@sec.gov

The public is encouraged to submit comments on proposed rules either in writing, as explained on the first page of each rule proposal, or via electronic mail. Proposed rules can be found on the SEC Proposed Rules page of this site. Comments on proposed rules received either electronically or in writing will be made available to the public.

foia/pa@sec.gov

This mailbox should be used to send Freedom of Information Act requests to the SEC's Office of Freedom of Information and Privacy Act Operations for agency records that are not otherwise available through the public reference facilities.

This mailbox may not be used to send requests under the Privacy Act and requests for confidential treatment under the Commission's rules. Such requests should be addressed to:

Office of Freedom of Information and Privacy Act Operations
Securities and Exchange Commission
Operations Center
6432 General Green Way, Stop O-5
Alexandria, VA 22312-2413

oig@sec.gov

This mailbox may be used to contact the SEC's Office of Inspector General. This mailbox should not be used to report possible violations of the federal securities laws by persons outside the SEC (see Enforcement Complaint Center) or to make a complaint about your broker or an unfair sales practice (contact the Commission's Office of Investor Education and Assistance at 202-942-7040 or by e-mail at help@sec.gov.)

The primary functions of the Office of Inspector General are to

1) perform audits of Commission operations, programs, activities, functions, and organizations, and

2) conduct investigations of alleged staff (and contractor) misconduct.

The Office accepts written or oral complaints, as well as anonymous allegations, although investigations are usually most effective if the complainant can provide specific information or documents upon request. The Office is also interested in receiving suggestions for possible improvements to the SEC's programs and operations.

You may send information about possible staff or contractor misconduct, or suggestions for improvements, to this mailbox. If you are comfortable in doing so, we ask that you provide your name, postal address, e-mail address, and a daytime telephone number where you can be reached easily. Remember that your e-mail is not confidential and others may intercept and read your e-mail. If you do not wish to send information to us via e-mail, you may telephone us at (202) 942-4460, FAX us at (202) 942-9653, or write to the following address:

Office of Inspector General
Securities and Exchange Commission
450 5th Street, N.W.
Washington, DC 20549-1107
 

oca@sec.gov

Use the Office of the Chief Accountant mailbox for general inquiries on technical accounting and auditing matters, inquiries relating to information on Sarbanes-Oxley regulations, and independence-related matters.

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.

oms@sec.gov

Members of the public are invited to use the Office of Municipal Securities (OMS) electronic mailbox to provide their observations, concerns, and comments about the Commission's municipal securities activities or to contact the OMS Ombudsman.

All electronic messages should include the sender's e-mail address, postal address, and daytime telephone number so that a response may be provided. This mailbox may not be used to make requests for interpretative, "no action" letters, or policy advice and staff will not respond to such requests. Such matters should be addressed in writing and sent to the appropriate SEC division, depending upon the nature of the specific matter involved. These requests may be sent via postal mail to the Chief Counsels in the Corporation Finance, Market Regulation, or Investment Management Divisions at SEC Headquarters, or via e-mail to the Divisions of Corporation Finance and Market Regulation.

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. At this time, correspondence must be in standard e-mail text or ASCII format so the staff can easily read and print the material. The letters and questions should include the telephone number of the requestor. 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.

IARDLIVE@sec.gov

Questions about electronic filing by investment advisers through IARD should be sent to this mailbox. Before you send in a question, please check the Frequently Asked Questions and other information available on the IARD web page.

Investment Management

To contact the Division of Investment Management with a question about the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Public Utility Holding Company Act of 1940, mutual funds, closed-end funds, UITs, interval funds, ETFs, investment advisers, variable insurance products (for example, variable annuities and variable life insurance contracts), registered public utility holding companies, IARD, and 13F filings, only, please visit Division of Investment Management: Directory of Telephone Numbers and E-Mail Addresses.

webtech@sec.gov

Questions about the EDGAR System and the EDGAR materials available on this site may be directed to this address.

webmaster@sec.gov

recruit@sec.gov

This mailbox should not be used to submit applications. If you are an attorney or law student, you may send your application to: Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0203, Attention: Recruitment Specialist. Other interested applicants should submit their applications to the address indicated in the vacancy announcement. Information about our vacancies can be found at the SEC Employment page of this site.

Regional/District Offices

newyork@sec.gov
This mailbox may be used to send inquiries, communications, or requests for information about the work of the Northeast Regional Office, to report suspected violations of federal securities laws, or if you suspect you have been the victim of a securities-related fraud committed in New York or New Jersey. When contacting this office, please include in your message your name, postal address, e-mail address, and a daytime telephone number where you can be reached.

Northeast Recruitment

NYRecruit@sec.gov
This mailbox may be used by persons seeking employment at the SEC Northeast Regional Office in New York City. It generates an automated reply, and may not be used to submit applications. The automated reply will instruct you in the application process. All applications to the Northeast Regional Office must be mailed appropriately with a current transcript attached.

Boston District Office

boston@sec.gov
This mailbox may be used to send inquiries, communications, and requests for information about the work of the Boston District Office. Suspected instances of possible violations of federal securities laws in Connecticut, Maine, Massachusetts, New Hampshire, Vermont or Rhode Island also can be reported to this mailbox. When contacting this office, please include in your message your name, postal address, e-mail address, and a daytime telephone number where you can be reached.

Philadelphia District Office

philadelphia@sec.gov
This mailbox may be used to send inquiries, communications, and requests for information about the work of the Philadelphia District Office. Suspected instances of possible violations of federal securities laws in Delaware, the District of Columbia, Maryland, Pennsylvania, Virginia, or West Virginia also can be reported to this office. When contacting this office, please include in your message your name, postal address, e-mail address, and a daytime telephone number where you can be reached.

Southeast Regional Office

miami@sec.gov
This mailbox may be used to send inquiries, communications, or requests for information about the work of the Southeast Regional Office, to report suspected violations of federal securities laws, or if you suspect you have been the victim of a securities-related fraud committed in Florida, Puerto Rico, or the U.S.Virgin Islands. When contacting this office, please include in your message your name, postal address, e-mail address, and a daytime telephone number where you can be reached.

Atlanta District Office

atlanta@sec.gov
This mailbox may be used to send inquiries, communications, and requests for information relating to the work of the Atlanta District Office. Suspected instances of possible violations of federal securities laws in Alabama, Georgia, Louisiana, Mississippi, North Carolina, South Carolina, or Tennessee also can be reported to this mailbox. When contacting this office, please include in your message your name, postal address, e-mail address, and a daytime telephone number where you can be reached.

Midwest Regional Office

chicago@sec.gov
This mailbox may be used to send inquiries, communications, and requests for information about the work of the Midwest Regional Office, to report suspected violations of federal securities laws, or if you suspect you have been the victim of a securities-related fraud committed by anyone within the Midwest Region. The Midwest Region includes: Illinois, Indiana, Iowa, Kentucky, Michigan, Minnesota, Missouri, Ohio, and Wisconsin. When contacting this office, please include in your message your name, postal address, e-mail address, and a daytime telephone number where you can be reached.

Central Regional Office

denver@sec.gov
This mailbox may be used to send inquiries, communications, and requests for information about the work of the Central Regional Office, to report suspected violations of federal securities laws, or if you suspect you have been the victim of a securities-related fraud committed in Colorado, Nebraska, New Mexico, North Dakota, South Dakota, or Wyoming. When contacting this office, please include in your message your name, postal address, e-mail address, and a daytime telephone number where you can be reached.

Fort Worth District Office

dfw@sec.gov
This mailbox may be used to send inquiries, communications, and requests for information relating to the work of the Fort Worth District Office. Suspected instances of possible violations of federal securities laws committed in Arkansas, Kansas, Oklahoma, or Texas also can be reported to this mailbox. When contacting this office, please include in your message your name, postal address, e-mail address, and a daytime telephone number where you can be reached. If you are inquiring about an individual or company, please include the name so that the information can be provided during the return phone call.

Our mission is to enforce the securities laws that were enacted to protect investors and ensure fair and honest securities markets. By reporting possible instances of fraudulent conduct relating to securities, you assist us in accomplishing our mission.

Salt Lake District Office

saltlake@sec.gov
This mailbox may be used to send inquiries, communications, and requests for information relating to the work of the Salt Lake District Office. Suspected instances of possible violations of federal securities laws committed in Utah also can be reported to this mailbox. When contacting this office, please include in your message your name, postal address, e-mail address, and a daytime telephone number where you can be reached.

Pacific Regional Office

losangeles@sec.gov
This mailbox may be used to send inquiries, communications, and requests for information about the work of the Pacific Regional Office, to report suspected violations of federal securities laws, or if you suspect you have been the victim of a securities-related fraud committed in Southern California, Arizona, Nevada, Hawaii, or Guam. When contacting this office, please include in your message your name, postal address, e-mail address, and a daytime telephone number where you can be reached.

San Francisco District Office

sanfrancisco@sec.gov
This mailbox may be used to send inquiries, communications, and requests for information relating to the work of the San Francisco District Office. Suspected instances of possible violations of federal securities laws committed in Northern California, Washington, Oregon, Alaska, Idaho, or Montana also can be reported to this mailbox. When contacting this office, please include in your message your name, postal address, e-mail address, and a daytime telephone number where you can be reached.

http://www.sec.gov/contact/mailboxes.htm