SEC and FINRA

Find all of the links and contact information for the SEC and FINRA that you’ve been searching for. RIA Compliance Group has put together a thorough list of SEC contacts including industry professional contacts, all of the Districts, and investment advisor issue information. Search below for the contact information you need and reach out to get the information you need directly from these contacts. You’ll also find the FINRA phone numbers for the call center and more.

SEC CONTACTS

Investment Adviser and Investment Advisers Act Issues

Questions about Investment Adviser Registration, Adviser Filings, Form ADV, 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

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 / Public Inquiry
Phone: (202) 551-6865
E-mail: IMOCC@sec.gov
Investment Clubs and Hedge Funds
Investment Clubs.
Office: Office of Chief Counsel / Public Inquiry
Phone: (202) 551-6865
E-mail: IMOCC@sec.gov

Hedge Funds.
Office: Office of Chief Counsel / Public Inquiry
Phone: (202) 551-6865
E-mail: IMOCC@sec.gov
Series Licensing Questions
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
Federal Filings
Questions about Form 13F and Required 13F filings for “Institutional Investment Managers”
Office: Office of Chief Counsel / Public Inquiry
Phone: (202) 551-6865
E-mail: IMOCC@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
Division of Investment Management Contacts
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
Form: https://tts.sec.gov/oiea/QuestionsAndComments.html
To Submit a Request for No-Action Relief Under Rule 14a-8 Under the Securities Exchange Act of 1934 and Related Correspondence.
Office: Office of Disclosure and Review

Submission by Mail:
U.S. Securities and Exchange Commission
Division of Investment Management
Office of Disclosure and Review
100 F Street, N.E.
Washington, D.C. 20549-8626

Submission by E-Mail: IMshareholderproposals@sec.gov
Questions Regarding the Submission of a Request or Related Correspondence.

Office: Office of Disclosure and Review
Phone: (202) 551-6921 or (202) 551-6925
E-mail: IMshareholderproposals@sec.gov
FINRA CONTACTS

Industry Professional Contacts

FINRA Call Center
Main FINRA Phone Number: (301) 590-6500
FINRA District Offices
District 1 – San Francisco
One Montgomery Street, Suite 2100
San Francisco, CA 94104
(415) 217-1100
Fax: (415) 956-1931
Christian A. Zrull, DirectorNorthern California (the counties of Monterey, San Benito, Fresno, and Inyo, and the remainder of the state north or west of such counties), northern Nevada (the counties of Esmeralda and Nye, and the remainder of the state north or west of such counties) and Hawaii.

District 2 – Los Angeles
300 South Grand Avenue, Suite 1600
Los Angeles, CA 90071-3126
(213) 229-2300
Fax: (213) 617-3299
David A. Greene, Director
Southern California (that part of the state south or east of the counties of Monterey, San Benito, Fresno, and Inyo), southern Nevada (that part of the state south or east of the counties of Esmeralda and Nye) and the former U.S. Trust Territories

District 3 – Denver
4600 S. Syracuse Street
Suite 1400
Denver, CO 80237
(303) 446-3100
Fax: (303) 620-9450
Joseph M. McCarthy, Regional Director
Arizona, Colorado, New Mexico, Utah and Wyoming

District 3 – Seattle
Two Union Square
601 Union Street, Suite 1616
Seattle, WA 98101-2327
(206) 624-0790
Fax: (206) 623-2518
Lance Burkett, Director
Alaska, Idaho, Montana, Oregon and Washington

District 4 – Kansas City
12 Wyandotte Plaza
120 West 12th Street, Suite 800
Kansas City, MO 64105-1930
(816) 421-5700
Fax: (816) 421-5029
Ed Wegener, Interim District Director
Iowa, Kansas, Minnesota, Missouri, Nebraska, North Dakota and South Dakota

District 5 – New Orleans
1100 Poydras Street
Energy Center, Suite 850
New Orleans, LA 70163-0802
(504) 522-6527
Fax: (504) 522-4077
Keith E. Hinrichs, Director
Alabama, Arkansas, Louisiana, Mississippi, Oklahoma and Tennessee

District 6 – Dallas
12801 North Central Expressway, Suite 1050
Dallas, TX 75243-1778
(972) 701-8554
Fax: (972) 716-7646
Erin C. Vocke, District Director
Texas

District 7 – Atlanta
One Securities Center, Suite 500
3490 Piedmont Road, NE
Atlanta, GA 30305-4808
(404) 239-6100
Fax: (404) 237-9290
Daniel J. Stefek, Director
Georgia, North Carolina and South Carolina

District 7 – Boca Raton
Crystal Corporate Center
2500 N. Military Trail, Suite 302
Boca Raton, FL 33431-6324
(561) 443-8000
Fax: (561) 443-7995
Mitchell C. Atkins, Regional Director
Atlanta, Florida, Dallas and New Orleans

District 8 – Chicago
55 West Monroe Street
Suite 2700
Chicago, IL 60603-5052
(312) 899-4400
Fax: (312) 606-0742
Carla A. Romano, Regional Director
Illinois, Indiana, Kentucky, Michigan, Ohio and Wisconsin

District 9 – New Jersey
581 Main Street, 7th floor
Woodbridge, NJ 07095-1164
(732) 596-2000
Fax: (732) 596-2001
Gary K. Liebowitz, Regional Director
New Jersey and New York (except for the counties of Nassau and Suffolk, and the five boroughs of New York City)

District 9 – Philadelphia
1835 Market Street, Suite 1900
Philadelphia, PA 19103-2929
(215) 665-1180
Fax: (215) 496-0434
Robert B. Kaplan, Director
Delaware, the District of Columbia, Maryland, Pennsylvania, Virginia and West Virginia

District 10 – New York
165 Broadway, 52nd Floor
New York, NY 10006-1400
(212) 858-4000
Fax: (212) 858-4189
Hans L. Reich, Regional Director
New York (the counties of Nassau and Suffolk, and the five boroughs of New York City)
Risk Oversight & Operational Regulation
20 Broad Street
New York, NY 10005

District 10 – Long Island
Two Jericho Plaza
2nd Floor, Wing A
Jericho, NY 11753-1658
(516) 949-4200
Fax: (516) 949-4201
Thomas J. Drogan, Deputy District Director

District 11 – Boston
99 High Street
Suite 900
Boston, MA 02110
(617) 532-3400
Fax: (617) 451-3524
Elizabeth F. Page, Director
Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island and Vermont
FINRA Education & Programs
For information about FINRA’s educational programs and events in the U.S., or to register, please contact FINRA via email or call (212) 858-4119.