GlossaryGuide

The SEC routinely receives questions and complaints from investors about the investment products they have purchased. But not all investments are considered securities under the securities laws. For example, some products, such as notes that have been issued by a bank, may not be securities and are regulated by the banking authorities.

If you have a question or want to file a complaint, the following tells you how you can contact each banking regulator. The Federal Deposit Insurance Corporation’s website can help you determine the regulator for a particular bank and trace inactive banks to their successor institutions.

Board of Governors of the Federal Reserve System

Federal Reserve Consumer Help
PO Box 1200
Minneapolis, MN 55480
1-888-851-1920

The Board of Governors of the Federal Reserve oversees, among other entities, state-chartered banks and trust companies that belong to the Federal Reserve System.

Federal Deposit Insurance Corporation

Federal Deposit Insurance Corporation
Consumer Response Center
1100 Walnut St, Box #11
Kansas City, MO 64106
1-877-275-3342 (1-877-ASK-FDIC)

The Federal Deposit Insurance Corporation regulates state-chartered banks and state-chartered savings associations that do not belong to the Federal Reserve System.

Office of the Comptroller of the Currency

Comptroller of the Currency
Customer Assistance Group
1301 McKinney Street
Suite 3450
Houston, TX 77010
1-800-613-6743

The Office of the Comptroller of the Currency regulates national banks (banks that have the word “National” in, or the letters “N.A.” after, their names) and federal savings associations.

National Credit Union Administration

NCUA Consumer Assistance Center
1755 Duke Street
Alexandria, VA 22314
1-800-755-1030                              

The National Credit Union Administration regulates federally charted credit unions.