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- Broadcasting Board of Governors
- Commodity Futures Trading Commission
- Corporation for National and Community Service
- Court Services and Offender Supervision Agency
- Department of Agriculture
- Department of Commerce
- Department of Defense
- Department of Education
- Accommodation, Food Services, and Other Services
- Arts, Recreation, and Travel
- Banking, Finance, and Insurance
- Births, Deaths, Marriages, and Divorces
Public Company Bankruptcy Cases Opened and Monitored for Fiscal Year 2009 Public Company Bankruptcy Cases Opened and Monitored for Fiscal Year 2009 Business Enterprise
Investment Company Series and Class Information Investment Company Series and Class Information Business Enterprise
The Series and Class Report provides basic identification information for all active registered investment company series and classes that 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).
Fails-to-Deliver Data under 10,000 Shares between September 16, 2008 and July 1, 2009 Fails-to-Deliver Data under 10,000 Shares between September 16, 2008 and July 1, 2009 Banking, Finance, and Insurance
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.
2010 SEC Ligitation Releases 2010 SEC Ligitation Releases Business Enterprise
2009 SEC Litigation Release 2009 SEC Litigation Release Business Enterprise
2009 Administrative Law Judge Initial Decisions 2009 Administrative Law Judge Initial Decisions Business Enterprise
The initial decisions issued by administrative law judges in 2009 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.
2010 SEC Opinions and Adjudicatory Orders 2010 SEC Opinions and Adjudicatory Orders Business Enterprise
2009 SEC Administrative Proceedings 2009 SEC Administrative Proceedings Business Enterprise
Copy of 2009 SEC Administrative Proceedings Copy of 2009 SEC Administrative Proceedings Business Enterprise