Forms 144 from the last 90 days filed in paper are available for public review on Wednesdays from 10am-3:30pm. Visitors are requested to contact Libray@sec.gov before they come in to ensure that the materials they are looking for are available. All other records, including public comments received on rulemakings are available for review on the Commission’s website at http://www.sec.gov. Instructions for accessing, or requesting access to, all other records can be found below.

How to Access Information or Help

If you have questions and inquiries relating to the SEC, to federal securities laws or investments, your inquiry should be submitted via this Questions and Feedback form. Click here for Fast Answers.

Information about contacting the SEC can be found here.

For any complaint relating to your investment or investment professional, you can submit your complaint with our Complaint form.  See our Investor Bulletin to learn more about investor complaints.

How to Access or Request Filings and Other Records

Company Filings

The SEC database for company filings, which includes quarterly and annual reports, registration statements for IPOs and other offerings, insider trading reports, and proxy materials, can be obtained in electronic form by using the SEC’s EDGAR system.  You can learn more about using EDGAR here.

Other Records

Public statements, proposed and final rules, enforcement actions, educational materials, special reports and studies, speeches, testimony and other SEC documents can also be obtained in electronic form by using the online SEC search feature or the attached links:

Litigation

Rulemaking

News & Public Statements

Certified Records

The SEC’s electronic automated certification service is no longer available. Please do not submit a FOIA request seeking to obtain certified records from the SEC. Agencies are not required to provide certified copies of agency records in response to FOIA requests.

How to Access or Request Records Not Accessible via SEC Website

The SEC maintains public and non-public records. 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, and public comments on proposed rules, are available on the SEC’s website. Additionally, most public filings since September 1995 and other public records are also on the SEC’s website at SEC.gov | Search Filings.

A FOIA request is required to obtain non-public records, such as records compiled in investigations, consumer complaints, and certain staff comment letters. Any of the following five methods may be used to submit a FOIA request to the SEC:

  • Use our Online FOIA Request Form
  • Email your request to: foiapa@sec.gov
  • Through the SEC’s Public Access Link and the National FOIA Portal
  • Mail your request to:
    U.S. Securities and Exchange Commission
    Office of FOIA Services
    100 F Street N.E.
    Mail Stop 2465
    Washington, DC 20549
  • Fax your request to: (202) 772-9337

Request Instructions

To request records not located on the SEC website, a written request must be submitted. The request must: (1) be in writing and include the requester's full name and a legible return address; (2) include the notation “Freedom of Information Act Request,” in the email or on the front of the request envelope and also at the beginning of the request letter; and (3) reasonably describe the records sought (by name, date, and subject matter).  Also be sure to provide your telephone number on your request. You may also provide your email address if you would like to have any releasable records delivered to you electronically. 

Each request for information or copies should clearly describe the information sought with respect to complete name, date, subject matter, type of document, file number, or any other specific information which will assist us in identifying the information you are requesting. This enables us to ensure that the correct documents are located and provided as quickly as possible.

Only one subject should be included per request, i.e., multiple filings by one company may be requested in one letter; however, filings by multiple companies should be broken into separate requests. If a request contains multiple subjects, it may be divided into multiple requests for more efficient processing.

Your written request should indicate a willingness to pay the search and reproduction cost for paper or electronic document production or provide a dollar amount you are willing to pay. See Schedule of Fees for Records Services here.

For additional information about the SEC’s FOIA procedures, please visit the SEC’s FOIA Services website located at: SEC.gov | FOIA Services.

Should questions arise about making a request, you may call 202-551-7900. 

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