Investor Form

Each year, thousands of investors voluntarily use the SEC's Investor Form or write emails to submit complaints concerning their brokers or investments, to ask questions about the securities laws and the securities industry, or to provide other feedback. In order to make it easier for investors and for the SEC staff, the SEC replaced the paper and web forms with an e-filed dynamic form (the Investor Form). The Investor Form does not ask for any information that was not on the previous forms, and provides drop down choices for investors so the contacts can more efficiently be routed to the appropriate staff. The dual purpose of the form is to make it easier for the public to contact the agency with complaints, questions, tips, or other feedback and to to further streamline the workflow of Commission staff that record, process, and respond to investor contacts.

The latest form for Investor Form expires 2023-11-30 and can be found here.