Open Government Datasets

In response to the Open Government Initiative requiring each agency to identify and publish online high-value data sets and register those data sets via Data.gov, the Securities and Exchange Commission is making available the following data sets:

1. Closed-End Fund Information (Download in CSV and in XML formats.); Updated 10/23/2012
    
2. Business Development Company Report  (Download in CSV and in XML formats); Updated 10/23/2012
    
3. SEC Administrative Proceedings for 2009 and 2010  (Download 2009 and 2010 in XML format)
    
4. SEC Litigation Releases for 2009 and 2010  (Download 2009 and 2010 in XML format)
    
5. Commission Opinions and Adjudicatory Orders for 2008, 2009 and 2010  (Download 2008, 2009 and 2010 in XML format)
    
6. Administrative Law Judge Initial Decisions for 2009 and 2010  (Download 2009 and 2010 in XML format)
    
7. Fails-to-Deliver Data under 10,000 Shares between September 16, 2008 and July 1, 2009  (Download in CSV format)
    
8. Public Company Bankruptcy Cases Opened and Monitored  (Download 2009 [CSV and XML], 2010 [CSV and XML], and 2011 [CSV and XML]); Updated 03/19/2012)
    
9. Investment Company Series and Class Information  (Download in CSV and XML formats; Updated 08/19/2011)

Closed-End Fund Information

Available in CSV and in XML formats; Updated 10/23/2012

This report provides basic identification information for all entities with an "active" filing status that are organized as closed-end investment companies (closed-end funds or CEFs). A CEF is an entity that has filed both a Form N-8A and Form N-2 with the Commission.

The report includes CEFs that have not yet begun selling shares to the public and CEFs that have ceased operations but have not yet terminated their registration with the Commission.

Please note that CEFs that offer multiple share classes to investors are also listed on the "Investment Company Series & Class" report.

The closed-end fund report contains both Commission generated filing identifiers and EDGAR data created and maintained by each registrant. Since certain records have been created by and are required to be maintained by each registrant, we can not guarantee their accuracy.

Hint: When using EDGAR to obtain information about a closed-end fund, the CIK number is the best identifier to use to obtain the most complete listings of filings filed electronically.

This file contains the following data fields:

Business Development Company Report

Available in CSV and in XML formats; Updated 10/23/2012

This report provides basic identification information for all entities with an "active" filing status that have been issued an 814- reporting number. These companies have either notified the Commission of their intent to be regulated as a BDC by filing a Form N-6F or elected to be regulated as a business development company by filing a Form N-54A.

The report includes N-6F filers and BDCs that have not yet begun selling shares to the public and those that have ceased operations but have not yet withdrawn their registration statement or withdrawn their election to be regulated as a BDC by filing a Form N-54C.

The BDC Report contains both Commission generated filing identifiers and EDGAR data created and maintained by each registrant. Since certain records have been created by and are required to be maintained by each registrant, we can not guarantee their accuracy.

Hint: When using EDGAR to obtain information about a BDC, the CIK number is the best identifier to use to obtain the most complete listings of filings filed electronically.

This file contains the following data fields:

SEC Administrative Proceedings for 2009 and 2010

Available for 2009 and 2010 in XML format.

This file contains the respondents, release number, release date, and the url of the notices and orders concerning the institution and/or settlement of administrative proceedings.

This file contains the following data fields:

SEC Litigation Releases for 2009 and 2010

Available for 2009 and 2010 in XML format.

This file contains the respondents, release number, release date, and the url of the litigation releases concerning civil lawsuits brought by the Commission in federal court.

This file contains the following data fields:

Commission Opinions and Adjudicatory Orders for 2008, 2009 and 2010

Available for 2008, 2009 and 2010 in XML format.

This file contains the respondents, release number, release date, and the url of the opinions and orders issued by the Commission adjudicating either appeals from initial ALJ decisions or disciplinary or adverse action taken by self-regulatory organizations (such as FINRA) or motions in connection with these proceedings.

This file contains the following data fields:

Administrative Law Judge Initial Decisions for 2008, 2009 and 2010

Available for 2009 and 2010 in XML format.

This file contains the respondents, release number, release date, and the url of the initial decisions issued by administrative law judges that contains findings of fact, legal conclusions, and an order that often contains a sanction. These initial decisions follow hearings on allegations of securities law violations initiated in most cases by the Commission’s Division of Enforcement.

This file contains the following data fields:

Fails-to-Deliver Data under 10,000 Shares

Available in CSV format.

See also: FOIA Fails-to-Deliver Data and Spotlight on Short Sales

This file contains the date, CUSIP numbers, ticker symbols, issuer name, price, and total number of fails-to-deliver (i.e., the balance level outstanding) recorded in the National Securities Clearing Corporation's ("NSCC") Continuous Net Settlement (CNS) system aggregated over all NSCC members for securities with a balance of total fails-to-deliver of under 10,000 shares between September 16, 2008 and June 30, 2009. Prior to January 21, 2010, this data was not available. The data include fails-to-deliver in equity securities. The values of total fails-to-deliver shares represent the aggregate net balance of shares that failed to be delivered as of a particular settlement date. Fails to deliver on a given day are a cumulative number of all fails outstanding until that day, plus new fails that occur that day, less fails that settle that day. The figure is not a daily amount of fails, but a combined figure that includes both new fails on the reporting day as well as existing fails. In other words, these numbers reflect aggregate fails as of a specific point in time, and may have little or no relationship to yesterday's aggregate fails. Thus, it is important to note that the age of fails cannot be determined by looking at these numbers. In addition, the underlying source(s) of the fails-to-deliver shares is not necessarily the same as the underlying source(s) of the fails-to-deliver shares reported the day prior or the day after.

The record layout and maximum field sizes are shown below for those who want to process the data into another form.

Public Company Bankruptcy Cases Opened and Monitored

Available for

• 2009 (CSV and XML)
• 2010 (CSV and XML)
• 2011 (CSV and XML)

This file contains a list of the bankruptcy cases for public companies filed under Chapter 11 of the Bankruptcy Code opened and monitored since the fiscal year 2009. The Commission has statutory authority under Section 1109(a) of the Bankruptcy Code to participate in bankruptcy cases, but generally limits its activity to large public company chapter 11 cases. The Commission role focuses on four main areas:

1. to ensure that plans and disclosure statements contain adequate information;
2. to ensure that public investors are adequately represented by an official committee if appropriate;
3. to ensure that the Bankruptcy Code exemptions from Securities act registration is not misused; and
4. to participate on legal issues that may affect the rights of public investors, such as where a debtor may seek to improperly shield officers and directors from lawsuits for securities fraud.

The data includes the District Court, the state, the company name, assets, and liabilities.

Investment Company Series and Class Information

Available in CSV and XML formats; Updated 07/20/2012.

The Series and Class Report provides basic identification information for all active registered investment company series and classes have been issued IDs by the Commission. Beginning on February 6, 2006, all open-end mutual funds (Form N-1A filers), insurance separate accounts organized as mutual funds (Form N-3 filers), insurance separate accounts organized as unit investment trusts (Form N-4 and Form N-6 filers) investment companies (see adopting release http://www.sec.gov/rules/final/33-8590.pdf) have been required to use these IDs when making their electronic filings with the Commission. Since February 6, 2006, series and class IDs have also been issued to a few closed-end funds (Form N-2 filers) and unit investment trusts that are not used to fund separate accounts (S-6 filers).

The vast majority of entities in this report are open-end mutual funds (Form N-1A filers) and insurance separate accounts (Form N-3, N-4 and N-6 filers). This file does not contain a comprehensive listing of closed-end registrants (Form N-2 filers) or unit investment trusts (Form S-6 filers) that are not used to fund insurance separate accounts. A separate listing of these registrants is not currently available.

The Series and Class Report contains both Commission generated filing identifiers and EDGAR data created and maintained by each registrant. Since certain records have been created by and are required to be maintained by each registrant, we can not guarantee their accuracy.

The Series and Class Report includes entities that have received IDs but have not yet begun selling shares to the public. The report also includes series and classes that have ceased operation but have not yet been reclassified as inactive by the registrant, as well as investment companies that have ceased operation but have not yet terminated their registration with the Commission.

Hint: When seeking information about a single series or class, it may be useful to search the file for the fund's ticker symbol since fund names may not correspond perfectly to the way investment company names appear in newspapers and printed literature.

This file contains the following data fields: