Frequently Requested FOIA Documents
The following materials are currently available:
- OIG Report 557, "Investigation Into Misuse of Resources and Violations of Information Technology Security Policies Within the Division of Trading and Markets"
- OIG Report 559, "Investigation into Allegations of Improper Preferential Treatment and Special Access in Connection with the Division of Enforcement's Investigation of Citigroup, Inc."
- OIG Report 567, "Destruction of Records Related to Matters Under Inquiry and Incomplete Statements to the National Archives and Records Administration Regarding that Destruction by the Division of Enforcement"
- OIG Report 511, "Allegations of Enforcement Staff Misconduct in Insider Trading Investigation"
- OIG Report 561, "Excessive Payment of Living Expenses in Contravention of OPM Guidance for a Headquarters Senior Official"
- OIG Report 560, "Investigation of Conflict of Interest Arising from Former General Counsel's Participation in Madoff-Related Matters"
- OIG Report 553, "Improper Actions Relating to the Leasing of Office Space"
- OIG Report 522, "Investigation of the Circumstances Surrounding the SECís Proposed Settlements with Bank of America, Including a Review of the Courtís Rejection of the SECís First Proposed Settlement and an Analysis of the Impact of Bank of Americaís Status as a TARP Recipient"
- OIG Report 533, "Investigation of the Failure of the SEC's Los Angeles Regional Office to Uncover Fraud in Westridge Capital Management Notwithstanding Investment Adviser Examination Conducted
in 2005 and Inappropriate Conduct on the Part of Senior Los Angeles Official"
- OIG Report 534, "Allegations of Improper Coordination Between the SEC and Other Governmental Entities Concerning the SEC's Enforcement Action Against Goldman Sachs & Co."
OIG Report 526, "Investigation of the SEC's Response to Concerns Regarding Robert Allen Stanford's Alleged Ponzi Scheme"
- OIG Report 505, "Failure to Timely Investigate Allegations of Financial Fraud"
- OIG Report 487, "Allegations of Retaliatory Conduct by Division of Enforcement Staff"
- OIG Report PI No. 09-38, "Allegations of Misconduct by Current and Former SEC officials at the Boston Regional Office (BRO)"
- OIG Report 502, "Allegations of Improper Disclosures and Assurances Given"
- OIG Report 509, "Investigation of Failure of the SEC to Uncover Bernard Madoffís Ponzi Scheme"
OIG Report No. 516, "Investigation of Fort Worth Regional Office's Conduct of the Stanford Investigation"
The redacted version of the report and all releasable exhibits are shown below. Certain exhibits (3, 4, 5, 6, 9 and 10) were withheld under the FOIA.
Alternative Trading Systems
Note: Please read the information page before using this data and for links to archive files.
Report as of March 1, 2013 (File name: atslist0313.pdf)
Note: Please read the information page before using this data and for links to archive files. The data file is compressed as a zip file.
Report for the second half of May 2013 (File name: cnsfails201305b.zip)
Company Information About Registered Investment Advisers and Exempt Reporting Advisers
Note: Please read the information page before using this data. The data files are compressed as zip files.
Registered Investment Adviser Report as of June 3, 2013 (File name: ia060313.zip)
(ZIP archive size: approximately 9.0 MB; decompressed size: approx. 9.5 MB)
Exempt Reporting Adviser Report as of June 3, 2013 (File name: ia060313-exempt.zip)
(ZIP archive size: approximately 850 KB; decompressed size: approx. 970 KB)
Company Information About Active Broker-Dealers
Note: Please read the information page before using this data.
Report as of June 1, 2013 (File name: bd060113.txt)
- Information about Investment Companies and Business Development Companies
Full-Time Equivalents History (June 2009)
File name: fulltimes.htm
Budget History — BA vs. Actual Obligations (June 2009)
File name: budgetact.htm
SEC Credit Cardholders and Approving Officials (January 2010)
File name: cardhold.htm
File name: secchairmancalendar.htm