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U.S. Securities and Exchange Commission (SEC)

Compliance Contacts

Contact the following individual(s) to get more information on complying with SEC regulations:

Small Business Ombudsman
U.S. Securities and Exchange Commission
100 F Street, N.E.
Washington, D.C. 20549-3628
Phone: 202-551-3460
SmallBusiness@SEC.gov

Gerald J. Laporte
Office of Small Business Policy
U.S. Securities and Exchange Commission
Phone: 202-551-3465
TTY/TTD: 800-877-8339
LaporteG@sec.gov

Compliance Resources

The following agencies and offices provide compliance resources for small businesses:

  • Small Business Ombudsman
    Contact for specific information, or questions or comments about federal securities regulations as they affect small business.

  • Information for Small Businesses
    Information on government regulations regarding the sale of securities by smaller companies and financial and other reporting for publicly traded smaller companies.


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