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.
How to Access or Request Filings and Other Records
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.
Administrative Proceeding Documents
You may make a request for copies of documents related to the Commission's Administrative Proceeding files. Some of these documents, such as Commission orders instituting proceedings and Administrative Law Judge's initial decisions and orders are available online.
Your written request should indicate a willingness to pay the search and reproduction cost for paper or electronic document production or provide a dollar cap for the amount you are willing to pay for processing, where applicable. See Schedule of Fees for Records Services at www.sec.gov/foia/feesche.htm. Click here to request other Administrative Proceeding documents.
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:
News & Public Statements
Certified copies of records or documents may be requested using the Certified Document form. Inquiries regarding the status of your request may be made to (202) 551-7230.
You will be contacted within one (1) business day to confirm receipt of your request. ORMS will service the request within twenty (20) business days. Our requests are processed in the order in which they are received.
How to Access or Request 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:
Send a fax to: (202) 772-9337
Submit a written request to:
To request 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 202-551-7900.
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.