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Frequently Requested FOIA Documents
The following materials are currently available:
- OIG Report 559, "Investigation into Allegations of Improper Preferential Treatment and Special Access in Connection with the Division of Enforcement's Investigation of Citigroup, Inc."
- OIG Report 567, "Destruction of Records Related to Matters Under Inquiry and Incomplete Statements to the National Archives and Records Administration Regarding that Destruction by the Division of Enforcement"
- OIG Report 511, "Allegations of Enforcement Staff Misconduct in Insider Trading Investigation"
- OIG Report 561, "Excessive Payment of Living Expenses in Contravention of OPM Guidance for a Headquarters Senior Official"
- OIG Report 560, "Investigation of Conflict of Interest Arising from Former General Counsel's Participation in Madoff-Related Matters"
- OIG Report 553, "Improper Actions Relating to the Leasing of Office Space"
- OIG Report 522, "Investigation of the Circumstances Surrounding the SEC’s Proposed Settlements with Bank of America, Including a Review of the Court’s Rejection of the SEC’s First Proposed Settlement and an Analysis of the Impact of Bank of America’s Status as a TARP Recipient"
- OIG Report 533, "Investigation of the Failure of the SEC's Los Angeles Regional Office to Uncover Fraud in Westridge Capital Management Notwithstanding Investment Adviser Examination Conducted
in 2005 and Inappropriate Conduct on the Part of Senior Los Angeles Official"
- OIG Report 534, "Allegations of Improper Coordination Between the SEC and Other Governmental Entities Concerning the SEC's Enforcement Action Against Goldman Sachs & Co."
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OIG Report 526, "Investigation of the SEC's Response to Concerns Regarding Robert Allen Stanford's Alleged Ponzi Scheme"
- OIG Report 505, "Failure to Timely Investigate Allegations of Financial Fraud"
- OIG Report 487, "Allegations of Retaliatory Conduct by Division of Enforcement Staff"
- OIG Report PI No. 09-38, "Allegations of Misconduct by Current and Former SEC officials at the Boston Regional Office (BRO)"
- OIG Report 502, "Allegations of Improper Disclosures and Assurances Given"
- OIG Report 509, "Investigation of Failure of the SEC to Uncover Bernard Madoff’s Ponzi Scheme"
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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.
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Alternative Trading Systems
Note: Please read the information page before using this data and for links to archive files.
Report as of July 31, 2012 (File name: atslist0712.pdf)
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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 first half of September 2012 (File name: cnsfails201209a.zip)
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Company Information About Registered Investment Advisers and Exempt Reporting Advisers
Note: Please read the information page before using this data. The data files are compressed as zip files (archive size: 1.7MB; decompressed size: approx. 8MB).
Registered Investment Adviser Report as of October 1, 2012 (File name: ia100112.zip)
Exempt Reporting Adviser Report as of October 1, 2012 (File name: ia100112-exempt.zip)
Note (04/02/12): As a result of the changes to Form ADV and the transition period for advisers to file the revised Form ADV, this data file will not include all of the sections of Form ADV provided in prior reports. Data for advisers that have not completed the revised Form ADV will appear blank for certain questions in the report.
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Company Information About Active Broker-Dealers
Note: Please read the information page before using this data.
Report as of October 1, 2012 (File name: bd100112.txt)
- Information about Investment Companies and Business Development Companies
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Full-Time Equivalents History (June 2009)
File name: fulltimes.htm
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Budget History — BA vs. Actual Obligations (June 2009)
File name: budgetact.htm
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SEC Credit Cardholders and Approving Officials (January 2010)
File name: cardhold.htm
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Chairman's Calendar
File name: secchairmancalendar.htm
http://www.sec.gov/foia/foiadocs.htm
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