About
The Office of the Investor Advocate (OIAD) was established by Congress to identify, analyze, and address the concerns of investors.
The office has five key functions:
- Assisting retail investors
- Identifying areas in which investors would benefit from regulatory changes
- Identifying problems with financial service providers and investment products
- Analyzing the potential impact of proposed rules and regulations on investors
- Proposing appropriate changes to the Commission and Congress
SEC Ombuds Can Assist Retail Investors
The SEC Ombuds is part of the Office of the Investor Advocate and can assist with a concern, question, or complaint about the SEC or a self-regulatory organization (SRO) that is subject to SEC oversight.
Submit your query through the Ombuds Matter Management System (OMMS).
Contact the Investor Advocate
202-551-3302![Investor researc POSITIER graphic](/https/www.sec.gov/files/styles/horizontal_card_x_small/public/images/positier-graphic.jpg?itok=F7vKhXrW)
Investor Research
Reports to Congress
The Investor Advocate was established by Congress and submits two reports on an annual basis to summarize its activities, policy objectives, and research.
Policy Analysis and Recommendations
The Investor Advocate can propose regulatory changes that may be appropriate to promote the interests of investors. Analysis and recommendations can be found in comment letters, white papers, and other statements.
Last Reviewed or Updated: Feb. 8, 2017