Skip to the main content of the page
Home

 

This portal allows members of the public to access frequently requested records, submit a FOIA request, and check the status of their outstanding request(s).

The primary mission of the SEC is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. The SEC also oversees other key participants in the securities world, including stock exchanges, broker-dealers, investment advisors, mutual funds, and public utility holding companies. The Commission is principally concerned with promoting disclosure of important information, enforcing the securities laws, and protecting investors who interact with these various organizations and individuals.

Records You Can Obtain

The Securities and Exchange Commission (SEC) maintains public and non-public records, such as:

  • Registration statements and reports filed by regulated companies and individuals
  • SEC decisions and releases
  • Staff manuals
  • No-action and interpretive letters
  • Public comments on proposed rules
  • Investigation records
  • Consumer complaints

Most public filings since 1995, SEC releases since September 1995, and other public records can be viewed and printed for free by using the SEC on-line search feature.

 

We will release records to the maximum extent possible, unless the records are protected by one or more of the nine FOIA exemptions. If we can reasonably segregate or redact exempt information from a requested record, we will release the rest of the record to you. In addition to FOIA exemptions, there are three special protection provisions, referred to as record "exclusions." The FOIA exclusions are reserved for certain specified circumstances.

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/stocks held by you or another individual
  • Residential mortgage records
  • Estate records
  • Immigration status/records
  • Police records
  • Medical records

 

To Submit a FOIA Request Online

Please Navigate here to  Submit A FOIA Request

Our FOIA Tracking System typically accommodates only one subject per request. If records are required on more than one subject, i.e., a company and an individual, please submit a separate request for each subject. In addition, all requests must include a written statement concerning willingness to pay fees. We ask all requestors who submit a request for any records to agree to pay a minimum amount of $61.00 (or to request a fee waiver) before the processing of any request for records can begin. If the fees will be greater or less than $61.00 the specialist assigned to your case(s) will advise you accordingly.

For more information about what a FOIA request must include and the types of records you might receive, please see our FOIA Reference Guide.

If you require certified copies, please click here.

To Check Request Status

To check the status of a request that you previously submitted click here. You can also login to your profile to view additional request details.

To File a Complaint

If you are an investor with a complaint about a securities professional, firm or a public company, please visit our Complaint Center, at http://www.sec.gov/complaint.shtml, to file a complaint. Investor information, including an introduction to the securities markets, how they work, the role of the SEC, investing basics and a variety of tools to aid investors, is available at www.investor.gov. In addition, if you have a securities-related question, please visit our website at http://www.sec.gov/answers.shtml to find fast answers to questions and solutions to common investment problems. If you are a securities professional needing assistance on technical matters, please check our website, www.sec.gov, and click on the "information for" pages link located in the bottom center of the home page. You may also contact our Office of Investor Education and Advocacy (OIEA) at 1-800-SEC-0330 or by email at help@sec.gov. OIEA will be able to address any questions you may have. You may also visit the OIEA webpage for additional information. https://www.sec.gov/page/oieasectionlanding.

Privacy Policy

Click here to review the SEC Privacy Policy.

© 2016 U.S. Securities and Exchange Commission.