What is FOIA?

The Freedom of Information Act (FOIA), 5 U.S.C. 552(a), promotes transparency in government by providing any person with the right to request access to federal agency records. All agencies of the U.S. government are required to disclose records upon receiving a written request for them, except for records that are exempt from public disclosure.

Recently Released Records

Frequently Requested Documents

Before you submit a FOIA request, please search the Securities and Exchange Commission’s website.

FOIA Reference Guide

Guidance and resources related to FOIA.

SEC FOIA Reports

SEC Quarterly FOIA reports, annual FOIA reports, and Chief FOIA Officer reports.

1. Finding Records Already Available

Often times, records sought in a FOIA request are already available on the SEC website. Before taking the time to submit a FOIA request, please review these sections to potentially find the information you're seeking.

Locate previously released records that have been frequently requested of the SEC in FOIA requests.

Retrieve filings made by publicly traded companies as far back as 1995 by searching the EDGAR system.

Access SEC regulatory decisions and public comments under the Rulemaking section of the SEC's website and actions taken against individuals/entities under the Enforcement section.

2. Process for Making a FOIA/Privacy Act Request

A FOIA request for a copy of SEC records can be made by any individual, private organization, or public organization other than another federal agency.

FOIA requests must be made in writing and meet the following criteria:

  • Reasonably describe the records sought (by name, date, and subject matter)
  • Include the requester’s full name and legible return address

For a potentially faster response, include the following in your written request:

  • Cite the Freedom of Information Act
  • Indicate a willingness to pay fees or request a fee waiver
  • Limit a request to one subject matter
  • Submit separate requests if records are being sought for more than one subject. Requests that contain multiple subjects may be divided into multiple requests

  • Information pertaining to companies initially offering their securities to the public
  • The SEC’s enforcement efforts pursuing possible violations of the federal securities laws
  • Consumer complaints

Please note, the SEC does not maintain the following:

  • Personal Account Information (there is no national database for this type of information)
  • Information regarding individual securities held by you or another individual 
  • Residential mortgage records
  • Estate records
  • Immigration status/records
  • Police records
  • Medical records

The SEC releases records to the greatest extent possible unless the records or portions of the records are protected by one or more of the nine FOIA exemptions. If exempt information contained within a record can reasonably be segregated, the remainder of the record will be released.

Exemptions

  1. Classified national defense and foreign relations information
  2. Internal agency personnel rules and practices
  3. Information that is prohibited from disclosure by another federal law
  4. Trade secrets and other confidential or privileged commercial or financial information
  5. Inter-agency or intra-agency communications that are protected by legal privileges
  6. Information involving matters of personal privacy
  7. Records or information compiled for law enforcement purposes, to the extent that the production of those records:
    • a) could reasonably be expected to interfere with enforcement proceedings
    • b) would deprive a person of a right to a fair trial or an impartial adjudication
    • c) could reasonably be expected to constitute an unwarranted invasion of personal privacy
    • d) could reasonably be expected to disclose the identity of and/or information provided by a confidential source
    • e) would disclose techniques and procedures for law enforcement investigations or prosecutions, or would disclose guidelines for law enforcement investigations or prosecutions
    • f) could reasonably be expected to endanger the life or physical safety of any individual
  8. Information relating to the supervision of financial institutions
  9. Geological information on wells

Exclusions

(c)(1) Exclusion

Protects the existence of an ongoing criminal law enforcement investigation when the subject of the investigation is unaware that it is pending and disclosure could reasonably be expected to interfere with enforcement proceedings.

(c)(2) Exclusion

Is limited to criminal law enforcement agencies and protects the existence of informant records when the informant's status has not been officially confirmed.

(c)(3) Exclusion

Is limited to the FBI and protects the existence of foreign intelligence or counterintelligence, or international terrorism records when the existence of such records is classified.

3. Submit Your FOIA/Privacy Request

Once you've determined the records aren't already available and you understand the process for making a FOIA request, submit your request online or contact FOIA staff for additional assistance.

Confidential Treatment Requests

SEC Rule 83 (17 CFR 200.83) provides a confidential treatment procedure for those submitting information to the agency to ask that it be withheld when requested under the Freedom of Information Act. Confidential treatment requests can apply in the context of examinations, inspections, and investigations among other instances. 

Privacy Act Requests & Identity Verification

Submit a Privacy Act request if you are seeking access to records about yourself. After you receive an acknowledgement email/letter from the SEC's Office of FOIA Services confirming that your request has been submitted successfully, your identity must be verified. Complete a Request for Individual Access to Records Under the Privacy Act if you are seeking access to your records or records pertaining to you. Complete a Consent for Disclosure of Records Under the Privacy Act if you are authorizing the SEC to disclose your records to another person or entity. Please do not complete either of these forms until you receive the acknowledgement email/letter that will provide you with an SEC Request Number that must be used to complete these forms. The SEC Request Number field should be populated only with that number provided in your acknowledgement email/letter.

Major Information Systems

Federal agencies are required under the Electronic Freedom of Information Act of 1996 to make an index of their major information systems publicly available.

Last Reviewed or Updated: Aug. 20, 2024