Public Records and Information

How to Access Information or Help

If you have questions and inquiries relating to the Commission, to federal securities laws or investments your inquiry should be submitted via Questions and Comments Form. Click here for Fast Answers to Key Topics.

Information about contacting the SEC is consolidated at: http://www.sec.gov/contact.shtml.

If you need to file an investment complaint your complaint should be submitted via Complaint Form or click here for the SEC Center for Complaints and Enforcement Tips

How to Access or Request Public Filings and Other Records

Company Filings

The SEC database for company filings — including quarterly and annual reports, registration statements for IPOs and other offerings, insider trading reports, and proxy materials SEC records and documents, can be obtained in electronic form by using the online SEC search feature.

Public statements, proposed and final rules, enforcement actions, educational materials, special reports and studies, speeches, testimony and other SEC documents can also be obtained in electronic form by using the online SEC search feature or the attached links:

Litigation

• Litigation Releases - Federal Court Actions
• Administrative Proceedings - Notices & Settlements
• ALJ Initial Decisions
• ALJ Orders
• Reports of Investigations
• Commission Opinions & Adjudicatory Orders
• Trading Suspensions
• Investors Claims Funds
• Briefs

Rulemaking

• Proposed Rules
• Final Rules
• Concept Releases
• Interpretive Releases
• Policy Statements
• PCAOB Rulemaking
• Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
• Public Utility Holding Company Act Orders, Notices, and Filings
• Exchange Act Exemptive Applications
• Exemptive Orders
• Investment Advisers Act Notices and Orders
• Investment Company Act Notices and Orders
• Investment Company Act Deregistration Notices and Orders
• Other Commission Orders and Notices
• Public Petitions for Rulemaking
• Exchange Delistings

News & Public Statements

• Annual Reports
• News Digest
• Press Releases
• Commission Speeches and Public Statements
• Staff Interpretations
• Testimony
• SEC Special Studies

How to Access or Request Public Records Not Accessible via SEC Website

For public records not posted to the web (usually dated prior to 1996) including SEC records and documents, historic Commission filings, special reports and studies, speeches, and testimony you may use any of the following three methods:

Use our online form

Send a fax to: (202) 772-9337

Submit a written request to:
U.S. Securities and Exchange Commission
Office of FOIA/PA Operations
100 F Street N.E.
Washington, DC 20549-2736

If you need certified copies of records or documents, your request should be submitted to certified@sec.gov. You should use the same mailbox, certified@sec.gov, to check on the status of your certification request or you may call (202) 551-7230.

Request Instructions

To request public records not located on the SEC website, a written request is submitted which should include a mailing address and daytime telephone number in order to contact you should questions arise. Each request for information or copies should clearly describe the information sought with respect to complete name, date, subject matter, type of document, file number, or any other specific information which will assist us in identifying the information you are requesting. This enables us to ensure that the correct documents are located and provided as quickly as possible.

Only one subject should be included per request, i.e. one company name with multiple filings may be requested in one letter; however, multiple company names should be broken into separate requests.

Your written request should indicate a willingness to pay the search and reproduction cost for paper or electronic document production or provide a dollar amount you are willing to pay. See Schedule of Fees for Records Services at www.sec.gov/foia/feesche.htm.

Should questions arise about making a request, you may call 202-551-8300 for further assistance or send an email to publicinfo@sec.gov.

Each request will receive an acknowledgement letter. A response should be provided within 20 working days. If additional time is needed, you will be contacted. Requests for voluminous records may take several months to fulfill and requestors may prefer to use a securities research service.

How to Request Non-Public Records

For non-public documents, you may file a request under the Freedom of Information Act (FOIA), see www.sec.gov/foia.shtml

http://www.sec.gov/answers/publicdocs.htm