Records and Information
Sept. 2, 2016
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.
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 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
- 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
- SEC Special Studies
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. The Office of Records Management Services will process the request within twenty (20) business days. 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:
U.S. Securities and Exchange Commission
Office of FOIA/PA Operations
100 F Street N.E.
Washington, DC 20549-2736
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.
Senior Agency Official (SAO) – Records Management
Office of Support Operations
SEC Records Officer
We have provided this information as a service to investors. It is neither a legal interpretation nor a statement of SEC policy. If you have questions concerning the meaning or application of a particular law or rule, please consult with an attorney who specializes in securities law.