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Open Government: Evaluating Our Progress

Category Recommended Score Underlying Rationale
High-Value Data Meets Expectations

The SEC published three high-value data sets in an open, machine-readable format on January 21st. All three are registered on and available for download:

  1. Fails-to-Deliver Data under 10,000 Shares between September 16, 2008 and July 1, 2009
  2. This file contains the date, CUSIP numbers, ticker symbols, issuer name, price, and total number of fails-to-deliver (i.e., the balance level outstanding) recorded in the National Securities Clearing Corporation's ("NSCC") Continuous Net Settlement (CNS) system aggregated over all NSCC members for securities with a balance of total fails-to-deliver of under 10,000 shares between September 16, 2008 and June 30, 2009. Prior to January 21, 2010, this data was not available. The data include fails-to-deliver in equity securities. The values of total fails-to-deliver shares represent the aggregate net balance of shares that failed to be delivered as of a particular settlement date. Fails to deliver on a given day are a cumulative number of all fails outstanding until that day, plus new fails that occur that day, less fails that settle that day. The figure is not a daily amount of fails, but a combined figure that includes both new fails on the reporting day as well as existing fails. In other words, these numbers reflect aggregate fails as of a specific point in time, and may have little or no relationship to yesterday's aggregate fails. Thus, it is important to note that the age of fails cannot be determined by looking at these numbers. In addition, the underlying source(s) of the fails-to-deliver shares is not necessarily the same as the underlying source(s) of the fails-to-deliver shares reported the day prior or the day after.

  3. Public Company Bankruptcy Cases Opened and Monitored for Fiscal Year 2009
  4. This file contains a list of the bankruptcy cases for public companies filed under Chapter 11 of the Bankruptcy Code opened and monitored in the fiscal year 2009. The Commission has statutory authority under Section 1109(a) of the Bankruptcy Code to participate in bankruptcy cases, but generally limits its activity to large public company chapter 11 cases.

  5. Investment Company Series and Class Information
  6. The Series and Class Report provides basic identification information for all active registered investment company series and classes have been issued IDs by the Commission. Beginning on February 6, 2006, all open-end mutual funds (Form N-1A filers), insurance separate accounts organized as mutual funds (Form N-3 filers), insurance separate accounts organized as unit investment trusts (Form N-4 and Form N-6 filers) investment companies (see adopting release have been required to use these IDs when making their electronic filings with the Commission. Since February 6, 2006, series and class IDs have also been issued to a few closed-end funds (Form N-2 filers) and unit investment trusts that are not used to fund separate accounts (S-6 filers).

Data Integrity Meets Expectations On January 21, 2010 the Securities and Exchange Commission designated Kenneth Johnson, Associate Executive Director, to be accountable for the quality and objectivity of, and internal controls over, the Federal spending information publicly disseminated through such public venues as or other similar websites.
Open Government Webpage Meets Expectations On February 5, 2010 the Securities and Exchange Commission launched its Open Government Webpage at In line with the Directive, the SEC Open Government Webpage serves as a portal to our activities related to the Open Government Directive.
Public Consultation Meets Expectations The Securities and Exchange Commission is seeking public input on our Open Government Plan, on the information we should prioritize for publication, an on the quality of the information we publish at To facilitate extensive engagement, the public will be able to convey their ideas, suggestions, and opinion through a dedicated e-mail address,

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