What Is the SEC Docket?
The SEC Docket provided an ongoing serial record of SEC regulatory and enforcement releases.
As of June 1, 2018, the SEC ceased publication of the SEC Docket. The last electronic Docket published was Vol. 118, No. 19. All Regulatory and Enforcement releases previously provided on a delayed basis in the e-Docket continue to be available in real time on the SEC.gov website.
Beginning with Vol. 106, No. 13 until Vol. 118, No. 19, the SEC Docket was available only online, replacing the previous paper format. The SEC e-Dockets are in XML format. Each weekly e-Docket included releases issued from Monday through Friday. The earlier paper Dockets included releases issued from Friday through Thursday in each issue.
Archival copies of the e-Docket will continue to be available. See archive links in the right column. The e-Docket was archived on a weekly and year-to-date basis.
Issues of the previously published Docket may be made available for public users by prior appointment at the SEC public reference room in Washington, D.C.
What Materials Were Included in the SEC Docket?
It did not include:
- Newsroom materials such as Press Releases, Speeches, Public Statements, and Testimony.
- Staff Interpretations such as No-Action Letters or Division staff guidance
- Periodic Reports
How to Cite the SEC Docket
We suggest the following style for citing the online SEC Docket:
U.S. Securities and Exchange Commission, SEC Docket, Vol. 106, No. 13 (Jul. 1-5, 2013) (available at http://www.sec.gov/about/docket/2013/sec-docket-106-13.xml)
- Other online compilations of published SEC materials include:
- Index pages for various types of documents — see Site Map.
- File numbers — For reference, see the SEC Records Control Schedule at 17 CFR 200.80f for the Commission's file numbering scheme.