Frequently Requested FOIA Documents

The following materials are currently available:

• OIG Report 487, "Allegations of Retaliatory Conduct by Division of Enforcement Staff"
   
  
  • Report of Investigation
     
• OIG Report PI No. 09-38, "Allegations of Misconduct by Current and Former SEC officials at the Boston Regional Office (BRO)"
   
  
  • Memorandum of Inquiry
     
• OIG Report 502, "Allegations of Improper Disclosures and Assurances Given"
   
  
  • Report of Investigation
     
• OIG Report 509, "Investigation of Failure of the SEC to Uncover Bernard Madoff’s Ponzi Scheme"
   
  
  • Report of Investigation
     
  • Exhibits
     
  • Executive Summary
     
• OIG Report No. 516, "Investigation of Fort Worth Regional Office's Conduct of the Stanford Investigation"
   
  The redacted version of the report and all releasable exhibits are shown below. Certain exhibits (3, 4, 5, 6, 9 and 10) were withheld under the FOIA.
  • Report of Investigation
     
  • Exhibit 1 - SEC Complaint Against Stanford
     
  • Exhibit 2 - SEC's First Amended Complaint Against Stanford
     
  • Exhibit 7 - June 19, 2009 Indictment of Leroy King for, Inter Alia, Criminal Obstruction of the SEC's Stanford Investigation
     
  • Exhibit 8 - Stanford Subpoena (June 5, 2007)
     
  • Exhibit 11 - Receiver's Motion for Order Authorizing Release of Certain Customer Assets (filed March 4, 2009)
     
  • Exhibit 12 - Second Amended Complaint
     
• Alternative Trading Systems
  Note: Please read the information page before using this data and for links to archive files.
  Report as of October 15, 2009: File name: atslist1009.pdf.
   
• Fails-to-Deliver Data
  Note: Please read the information page before using this data and for links to archive files. The data file is compressed as a zip file.
  Report for the second half of February 2010: File name: cnsfails201002b.zip.
   
• Company Information About Registered Investment Advisers
  Note: Please read the information page before using this data. The data file is compressed as a zip file: Archive size: 1.9MB; decompressed size: approx. 13MB
  Report as of March 1, 2010: File name: ia030110.zip
   
• Company Information About Active Broker-Dealers
  Note: Please read the information page before using this data.
  Report as of March 1, 2010: File name: bd030110.txt
   
• Full-Time Equivalents History (June 2009) File name: fulltimes.htm
   
• Budget History — BA vs. Actual Obligations (June 2009) File name: budgetact.htm
   
• SEC Credit Cardholders and Approving Officials (January 2010) File name: cardhold.htm