All filers using this system must redact or omit Sensitive Personal Information (SPI) from all documents filed, unless an exception applies.  SPI, as defined in Rule 151(e) (17 CFR § 201.151(e)), is defined as an individual’s:

  • Social Security Number, or taxpayer identification number;
  • Financial account number;
  • Credit card or debit card number;
  • Passport number;
  • Driver's license number, or state-issued identification number;
  • Home address (other than city and state);
  • Telephone number;
  • Date of birth (other than year);
  • Names and initials of minor children; and
  • Any sensitive health information identifiable by individual, such as an individual’s medical records.

The following information does not need to be redacted or omitted:

  • The last four digits of an individual’s Social Security Number, taxpayer identification number, financial account number, credit or debit card number, passport number, driver's license number, or state-issued identification number;
  • Home addresses and telephone numbers of parties and persons filing documents with the Commission;
  • Business telephone numbers; and
  • Copies of unredacted filings by regulated entities or registrants that are available on the Commission’s public website.

The redaction requirements for submissions of certified records and record indexes by Self-Regulatory Organizations (SROs) and the Public Company Accounting Oversight Authority (PCAOB) are set forth in Rules 420(e) (SROs) and 440(d) (PCAOB) (17 CFR §§ 201.420(e) and 201.440(d)). The redaction requirements for the submission of hearing exhibits are set forth in Rule 351(c) (17 CFR § 201.351(c)).