Please call the Office of FOIA Services at (202) 551-7900 for assistance with this form. (For users of screen reader technology only, please note you may hear some extraneous information related to Google's reCAPTCHA.)
The Securities and Exchange Commission (SEC) maintains public and non-public records. Many records, such as registration statements and reports filed by regulated companies and individuals, SEC decisions and releases, staff manuals, no-action and interpretive letters, and public comments on proposed rules, can be viewed and printed for free by using the SEC on-line search feature. Please use the form below to obtain non-public records, such as records compiled in investigations, consumer complaints, and staff comment letters. We will release non-public records, unless the record is protected by one of nine FOIA exemptions. If we can reasonably segregate or delete exempt information from a requested record, we will release to you the rest of the record. You may also use the form below for 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.
If you have any difficulties using this form please send a fax to 202-772-9337.
If you require certified copies, please click here.
Fields marked with an asterisk (*) are required.
To avoid delays in processing your request, please provide your willingness to pay at least $61. Check the box to indicate your agreement. Pre-authorization of fees to a specific dollar amount in your request letter will speed the processing of your FOIA request. However, do not send pre-payment for your request. If you incur billable charges, an itemized invoice will accompany our final response to your request. You will be provided the option of paying the invoice online or by mail. Note that if fees are likely to exceed $250, the SEC does have the discretion to require advance payment prior to commencing any work.
If you are seeking a fee waiver, it is your responsibility to provide detailed information to support your request. You must submit this information with your FOIA request. Each fee waiver request is judged on its own merit. The SEC does not grant "blanket" fee waivers. The fact that you have received a fee waiver in the past does not mean you are automatically entitled to a fee waiver for other requests you submit, because an essential element of any fee waiver determination is whether the release of the particular documents sought will likely contribute significantly to public understanding of the operations or activities of the Government.
An essential element of any fee waiver determination is whether the release of the particular records sought will likely contribute significantly to public understanding of the operation or activities of the Government. The SEC will release records responsive to a request without charge or at a reduced rate if the SEC determines, based on all available information, that you have demonstrated that disclosing the information is:
In deciding whether you have met the criteria above, the SEC will consider the following factors:
If you would like expedited treatment you must show "compelling need" in one of two ways: by establishing that your failure to obtain the records quickly "could reasonably be expected to pose an imminent threat to the life or physical safety of an individual"; or, if you are a "person primarily engaged in disseminating information," by demonstrating that an "urgency to inform the public concerning actual or alleged Federal Government activity" exists.
Please read our Privacy Act Notice to learn more about how we may use the information you send to us.