FOIA Services

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.

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.