Professional Misconduct

The U.S. Securities and Exchange Commission (SEC) Office of the General Counsel (OGC) is responsible for investigating allegations that SEC employees have engaged in professional misconduct and, where appropriate, referring such allegations to state professional boards or societies.  “Professional Misconduct” is a violation of an established standard or norm of professional conduct as reflected in a federal or state statute, federal rule, or rule of professional conduct.

Individuals who have information they believe supports an allegation that an SEC employee has engaged in professional misconduct may file a written complaint with OGC at GCProfessionalConduct@SEC.gov or by mail at the address listed below.  It is OGC’s policy to refrain from investigating an allegation that has been submitted to a court for its consideration during the course of litigation or would have been more appropriately raised with and addressed by a court during the course of litigation.

Allegations against SEC employees involving professional misconduct should be submitted to OGC in writing through the email link below or by mail.

When submitting your allegations, please provide your full name, address, telephone number, and email address along with the allegation and any information that you believe would be helpful to understanding the basis of the allegation.  Copies of any documents that support your allegations, up to 6 total MB, may be attached to the email.

GCProfessionalConduct@SEC.gov

If OGC receives an allegation of misconduct concerning professional misconduct outside of its jurisdiction, such as waste, fraud, or abuse by SEC personnel, OGC may refer the allegation to the SEC’s Office of Inspector General (OIG) or another appropriate office.

IMPORTANT INFORMATION – PLEASE READ

IMPORTANT: We do not edit personally identifiable information (PII) from submissions. To learn more about how we may use the information you send to us, please read the SEC Privacy Policy at https://www.sec.gov/privacy.htm.

DISCLAIMER: The Office of the General Counsel generally treats matters as confidential and takes reasonable steps to maintain the confidentiality of communications. OGC also attempts to address matters without sharing information outside of the OGC staff, unless you give the OGC permission to do so. However, OGC may need to contact other SEC divisions or offices, Self-Regulatory Organizations, entities, and/or individuals and share information without your permission under certain circumstances including, but not limited to: a threat of imminent risk or serious harm; assertions, complaints, or information relating to violations of the securities laws; allegations of government fraud, waste, or abuse; or if required by law, such as pursuant to a court order or Freedom of Information Act request initiated by a third party.

PRIVACY ACT STATEMENT

The authority by which information is collected on this website is 17 C.F.R. §200.21(a); SEC SORN-04, OGC Working Files, 83 FR 6892 (February 15, 2018). Your disclosure of information on this form to the Securities and Exchange Commission, Office of the General Counsel (OGC) is voluntary.

The applicable Privacy Act System of Records Notice (SORN) is SEC-04 Office of the General Counsel Working Files and the purpose and routine uses of the records are set forth at Section 5 and Section 7, respectively.  83 FR 6892 (February 15, 2018). This SORN is exempt from certain sections of the Privacy Act and the citation for the rule exempting the notice is 83 FR 6892 (February 15, 2018).

The principal purpose for collecting and maintaining the information on this website form is to control, track, respond to, and maintain correspondence that is received, originated or referred to OGC regarding the resolution of allegations of professional misconduct made against Commission employees and to advise complainants of the status of investigations and the results.

In addition to those disclosures generally permitted by the Privacy Act, all or a portion of this information may be disclosed as a routine use, which include, but are not limited to, disclosures : to any civil or criminal law enforcement authority or other appropriate agency where a record, either alone or in conjunction with other information indicates a violation or potential violation of law; to contractors, grantees, experts, consultants, students, and others performing or working on a contract, service, grant, cooperative agreement, or other assignment for the Federal government, when necessary to accomplish an agency function related to the corresponding system of records; to any person or entity that OGC has reason to believe possesses information regarding a matter within the jurisdiction of OGC, to the extent deemed to be necessary by OGC, in order to elicit such information or cooperation from the recipient for use in the performance of an authorized activity; or to such recipients and under such circumstances and procedures as are mandated by federal statute or treaty. The full list of routine uses for this correspondence can be found in the System of Records Notice titled, SEC-04, 83 FR 6892 (February 15, 2018).