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Frequently Requested FOIA Documents
The following materials are currently available:
Alternative Trading Systems
Note:
Please read the information page
before using this data and for links to archive files.
Report as of January 30, 2009:
File name: atslist0109.pdf
.
Fails-to-Deliver Data
Note:
Please read the information page
before using this data and for links to archive files. This is a
PKZip file
: Archive size: 2.2 MB; decompressed size: approx. 5.4 MB
Reports for the fourth quarter 2008:
File name: cnsp_sec_fails_2008q4.zip
.
Company Information About Registered Investment Advisers
Note:
Please read the information page
before using this data. This is a
PKZip file
: Archive size: 932KB; decompressed size: approx. 5MB
Report as of May 1, 2008:
File name: ia050109.zip
Company Information About Active Broker-Dealers
Note:
Please read the information page
before using this data.
Report as of May 1, 2009:
File name: bd050109.txt
Full-Time Equivalents History
(May 2007)
File name: fulltimes.htm
Budget History — BA vs. Actual Obligations
(May 2007)
File name: budgetact.htm
SEC Credit Cardholders and Approving Officials
(October 2008)
File name: cardhold.htm
http://www.sec.gov/foia/foiadocs.htm
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Modified: 05/01/2009