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1Fix the driver behind crashes, sound loss and screen glitches2Repair Windows errors before they cause bigger problems3Scan for outdated or missing drivers - takes under a minuteReport suspected securities fraud to the U.S. Securities and Exchange Commission (SEC) through its Tips, Complaints and Referrals (TCR) portal. Anyone can submit a tip; you do not have to enroll in the SEC whistleblower program. For a problem getting an account opened, transferring assets, redeeming an investment, processing a trade, or dealing with a financial professional, use the SEC’s separate investor complaint process.
Choose the right SEC reporting route
| Your concern | Where to go | What to expect |
|---|---|---|
| Possible securities fraud or another federal securities-law violation, such as a fraudulent or unregistered offering, Ponzi scheme, theft of investor assets, market manipulation, insider trading, or false company statements | SEC TCR portal | Submit information for the SEC to assess. A tip does not guarantee an investigation, enforcement action, recovery, or individual update. |
| An account-service issue or a problem with a broker or other financial professional, such as account opening, transfers, redemptions, or trade processing | SEC investor complaint process | The SEC may forward the complaint to the firm to seek a response. The SEC says it cannot act as your attorney or personal representative. |
| Suspected misconduct specifically targeting retail investors | SEC TCR portal | Include the exact wording “To the Attention of the Retail Fraud Working Group” to direct the tip to that group. |
The SEC handles possible violations of federal securities laws, not every dispute involving an investment. If the conduct falls outside its jurisdiction, the SEC may, where appropriate, refer it to another regulator or law-enforcement agency. The SEC’s whistleblower FAQ explains jurisdiction limits.
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Prepare a clear, useful report
The TCR form asks about the subject of the complaint, people or entities involved, investment products, contact information, and supporting files. Gather what you can before starting; the form includes a review step before submission. The SEC says: “We can best address your submission if we receive accurate, truthful, and complete information.” See Filing Guidance and Confidentiality.
- Identify who was involved. Give names of people and companies, their roles, and useful contact details if known.
- Explain what happened and when. Lay out events in chronological order. Include dates, amounts, statements made, and how the suspected conduct worked.
- Describe the investment and impact. Name the product and relevant transactions, and state what money or securities were involved. Include known losses or other affected investors, if you know them.
- Separate firsthand facts from suspicions. Make clear what you personally saw or received and what you learned from someone else. Avoid presenting an unverified claim as established fact.
- Attach relevant records. Examples include offering materials, account statements, transaction confirmations, emails, messages, contracts, and screenshots. Keep originals and submit copies where practical.
- Add relevant context. Note earlier communications with the SEC or other agencies when the form asks. Save the online receipt and submission reference number.
The SEC says specific, credible, and timely tips are more likely to be forwarded to investigative staff. Identifying participants, describing particular transactions, and pointing to nonpublic evidence can help staff assess a submission. This does not mean the SEC will investigate or take action. Enforcement investigations are generally confidential.
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Decide whether to use the whistleblower program
An ordinary TCR is not the same as a whistleblower-program submission. If you want to seek potential award eligibility or the program’s additional confidentiality protections through the online portal, answer yes when asked whether the tip is being filed under the whistleblower program and complete the required whistleblower declaration. Review the SEC’s whistleblower submission guidance and FAQ before choosing that route.
Anonymous submissions seeking potential whistleblower awards must be submitted on the person’s behalf by an attorney. For award eligibility, the SEC requires information to be submitted directly to it in the required manner; reporting only to another agency or to the news media does not meet that direct-submission condition. Keep copies of what you submit and the portal confirmation.
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Understand confidentiality and anonymity
The SEC says it treats TCRs as confidential and nonpublic, subject to exceptions authorized by law. Whistleblower-program submissions receive additional confidentiality protections, also subject to legal limits. Confidential handling is not the same as absolute secrecy.
If you file an investor complaint seeking help with a service problem, the SEC may need to share the complaint and your identity with the firm to address it. Consider that possibility when choosing between the complaint process and a TCR.
Independent reader supportYour contribution helps us test, update, and keep practical guides available for everyone.What happens after submission?
The online system provides a receipt and reference number; retain both with your records. The SEC may use a tip to assess whether it should be referred to investigative staff, but it does not promise an investigation, enforcement action, recovery of money, or a personal status update. Enforcement investigations are generally confidential, so lack of an update does not tell you what action, if any, the SEC may take.
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