Tips and Complaints Resources

The SEC has guidance available to help you efficiently provide the essential information in a tip or complaint as well as to help you understand the incentives and protections of the agency’s whistleblower program.

Tips, Complaints, and Referrals

• Preparing a quality TCR
• Report suspected securities fradus or wrongdoing

• Filing guidance and confidentiality

• FAQs about our whistleblower program

• Whistleblower awards and protections

Report a Problem With Your Investments

• How to report complaints about investment or investment professionals
• Ask an investment-related question

Concerns about the SEC, SROs and Compliance with Securities Laws

• Ombuds

Discrimination Concerns Involving Private Sector Employers

The U.S. Equal Employment Opportunity Commission has jurisdiction over allegations of employment discrimination involving certain private sector employers. If you believe that you have been discriminated against, you may wish to contact the EEOC, or your state or local fair employment or civil rights commission, to file a charge. If you are an independent contractor to a private company (e.g., asset manager), please check www.eeoc.gov for jurisdiction of the EEOC.