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Request for Administrative Proceeding Documents

The Securities and Exchange Commission's Office of the Secretary maintains the records for Administrative Proceedings before the Administrative Law Judges or the Commission. These documents are publicly available unless the record is filed under seal or protected by one of nine FOIA exemptions. Please use the form below to obtain records and we will release public records. If we can reasonably segregate or delete exempt information from a requested record, we will release to you the rest of the record.

If you have any difficulties using this form please send a fax to 202-813-9793.

Please submit only one request per proceeding. Do not submit multiple subjects in one request.

Fields marked with an asterisk (*) are required.

Contact Information
Prefix:
First: *
MI:
Last: *
Suffix (If any):	Examples: Jr., Ph.D., CPA, Esquire
Telephone: *
Email: *	Example: name@domainname.domain
Company Name (if applicable):
Address line 1: *
Address line 2:
City: *
State / Province: *
Country: *
Zip: *
Request Details
Administrative Proceeding File Number (3-number): *
Subject/Company Name: *	Please submit only one company or entity name per request. Do not submit multiple subjects in one request.
Date or date range of document: *
Other pertinent information - Provide a clear and complete description of document(s) requested. If you do not know the specific date, you must provide a date range, i.e. month and/or year.
Note: Only file with .txt, .doc, .docx and .pdf extension is allowed.
Attachment File:

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Request for Administrative Proceeding Documents

Modified: 09/24/2013