Form FTS Form FTS SEC Filer Technical Support Help Desk Survey Questions

Proposed SEC Filer Technical Support Help Desk Survey Questions

Draft Survey

The Filer Technical Support Team is interested in obtaining your feedback regarding the level of customer service. In order for us to enhance the quality of our service, please respond to the following questions:

1. I am responding to this survey questionnaire as a:

• Corporation Finance Filer (Forms 3/4/5, Form 10-K/Q, Form D, Regulation A, Sch 13G/D, Form 10-K/Q)

• Investment Management Filer (Form 13-F, N-MFP, N-SAR, N-CSR, N-RSRO, N-1/2/3/4, 497)

• Transfer Agent

• Trading and Markets Filer (Form 13-H, Broker Dealers, CF Portal)

• Municipal Advisor

• Filing Agent

• Other

2. What was the nature of your inquiry?

• Password/Log-in/Access Code related issue

• Filing status

• Error Message Question

• Upload/Attach Documents

• Navigate the website

• Browser related issue

• Other

3. How would you rate the customer service you received from the SEC Filer Technical Support Help Desk?

(1=Very Poor, 10= Very Good)

1 2 3 4 5 6 7 8 9 10

O O O O O O O O O O

4. Do you have comments and/or recommendations for improving the quality of service provided by the SEC Filer Technical Support Help Desk?

5. Thank you for your opinion survey input. Would you like us to contact you about your survey feedback?

• No

• Yes

6. If your answer to question 9 was ‘Yes’, please provide your name and phone number.

June 2016