SEC Docket
What Is the SEC Docket?
The SEC Docket provides an ongoing serial record of SEC regulatory and enforcement releases.
The top summary table of the docket indicates the corresponding ranges of release numbers issued during the given date range under the Office of the Secretary's regulatory and content type classification system.
As of July 1, 2013, beginning with Vol. 106, No. 13, the SEC docket is available only online, replacing the print-only format. Each weekly issue includes releases issued from Monday through Friday. Note that this is a change from the print version, which covered releases from Friday through Thursday in each issue.
The e-docket will be archived on a weekly and year-to-date basis — see archive links in the right column.
What Materials Are Included in the SEC Docket?
The SEC Docket includes Regulatory and Enforcement releases.
It does not include:
- Newsroom materials such as Press Releases, Speeches, Public Statements, and Testimony.
- Staff Interpretations such as No-Action Letters or Division staff guidance
- Periodic Reports
How to Cite the SEC Docket
We suggest the following style for citing the online SEC Docket:
U.S. Securities and Exchange Commission, SEC Docket, Vol. 106, No. 13 (Jul. 1-5, 2013) (available at http://www.sec.gov/about/docket/2013/sec-docket-106-13.xml)
Other Notes
- The SEC e-Docket is in XML format, which can be opened, sorted, and filtered with a variety of different software including spreadsheet and database software such as Microsoft Excel and Access.
Other Resources
- Other online compilations of published SEC materials include:
- Index pages for various types of documents — see Site Map.
- File numbers — For reference, see the SEC Records Control Schedule at 17 CFR 200.80f for the Commission's file numbering scheme.