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SEC Litigation Releases for 2009 and 2010
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. -
Alternative Trading System (ATS) List
The SEC receives submissions from alternative trading systems on an ongoing basis pursuant to Regulation ATS. We note that the list of alternative trading systems changes over... -
Mutual Fund Prospectus Risk/Return Summary Data Sets
The Mutual Fund Prospectus Risk/Return Summary Data Sets provides text and numeric information extracted from the risk/return summary section of mutual fund prospectuses. -
Investment Company Series and Class Information
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. -
Spreads and Depth by Individual Security
These datasets provide spreads and depth partitioned by individual ticker symbol and date for each day in 2013. -
Form N-MFP Data Sets
Form N-MFP is used for monthly reports of money market funds to report information about the fund and its portfolio holdings for the preceding month. Form N-MFP is filed with... -
Regulation A Data Sets
The data sets provide the structured data from securities offerings pursuant to Regulation A filed with the Commission. -
Metrics by Individual Security and Exchange
These datasets provide metrics for each individual security partitioned by exchange. -
Form N-CEN Data Sets
Form N-CEN is used by all registered investment companies, other than face-amount certificate companies to file annual reports with the Commission. The Form N-CEN data sets are... -
Commission Opinions and Adjudicatory Orders for 2008, 2009 and 2010
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... -
Variable Insurance Product Data Sets
The VIP Data Sets provide the text and numeric information extracted from Forms N-3, N-4 and N-6 – the registration forms for variable annuity contracts and contracts offering... -
Business Development Company Report
This report provides basic identification information for all entities with an "active" filing status that have been issued an 814- reporting number. -
Information About Registered Municipal Advisors
This Excel spreadsheet file contains the names of SEC registered municipal advisor firms (including sole proprietorships), as well as their SEC reporting file numbers and... -
Hazards and Survivors by Time Period
Each zip file contains 36 datasets, which provide the hazard, survivor, and cumulative distribution functions for select time scales for large stocks, mid cap stocks, small... -
Cooperative Arrangements with U.S. Regulators
Information sharing arrangements to facilitate regulatory and supervisory cooperation with domestic regulators. -
Closed-End Fund Information
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... -
Conditional Cancel and Trade Distributions
Each zip file contains 54 datasets: nine each for large stocks, mid cap stocks, small stocks, large ETPs, mid cap ETPs, and small ETPs. -
Administrative Law Judge Initial Decisions for 2009 and 2010
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...
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