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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

Examples: Jr., Ph.D., CPA, Esquire

Example: name@domainname.domain
Request Details

Please submit only one company or entity name per request. Do not submit multiple subjects in one request.

Note: Only file with .txt, .doc, .docx and .pdf extension is allowed.

Please read our Privacy Act Notice to learn more about how we may use the information you send to us.



Modified: 09/24/2013