SEC records in this library
This library holds 1,860 SEC records, filed between 2004-05-11 and 2026-09-04, drawn from 4 sources. They are records of documents the SEC published, not a count of everything it did, and the gaps listed below say what is missing.
1,860records
2004–2026filing years
54%carry a recorded penalty
100%checked against the primary document
Sources
First and last dates are the earliest and latest filing dates among the records from each source, so they show what was collected, not when the source began or ended.
| Source | Records | First | Last | What it covers | What it does not |
|---|---|---|---|---|---|
| SEC litigation releases | 1,209 | 2015-01-13 | 2026-09-04 | The Commission's notices of actions filed or resolved in federal court. Each release names the respondents, carries a release number and usually links the complaint. | Anything before 2015. Releases in which the classifier finds no manipulation technique are read and skipped, so this is not a mirror of every release. |
| SEC administrative proceedings | 584 | 2013-01-10 | 2026-05-22 | Orders instituting administrative proceedings, published as PDFs. Text is extracted, the order type is read from its title, and only substantive findings orders go on to technique classification. | Section 12(j) revocations, Fair Fund orders, follow-on bars, automatic Rule 102(e)(2)/(e)(3) suspensions, gatekeeper-deficiency findings, reinstatement applications and procedural orders. Before 2013. |
| SEC administrative law judge initial decisions | 61 | 2004-05-11 | 2026-02-11 | Initial decisions from contested administrative proceedings, where a judge has set out findings of fact. Recorded only once a finality order exists. | Decisions without a finality order (278 of 1,160 dropped when the source was last counted), including those vacated after Lucia v. SEC; section 12(j) revocations and follow-on bars. |
| SEC older documents added individually | 6 | 2007-05-03 | 2017-02-08 | A handful of pre-2015 litigation releases and one stop order whose PDFs sit outside the standing sources' URL patterns. | Not a source in its own right: no standing ingest reads these URLs, so the pre-2015 SEC litigation record is incomplete by design. |
Records per year
Technique mix, top eight
Status of the records
- Settled1,033 (56%)
- Judgment entered631 (34%)
- Alleged, no outcome recorded157 (8%)
- Dismissed18 (1%)
- Status unknown15 (1%)
- On appeal6 (0%)
Known gaps
- Litigation releases start in 2015. A comparison of 2013 or 2014 with later years is a comparison of fewer SEC sources.
- Most of the administrative docket is not recorded: revocations for late filings, distribution orders, follow-on bars and similar housekeeping are excluded by design, and so are initial decisions with no finality order.
- Trading suspensions are kept in a separate dataset and are not enforcement records, so they appear in no count here.
- Whistleblower award orders are not collected, because each one redacts the action it pays out on and leaves no respondent to record.
- FINRA, the self-regulator that brings most US equity order-book cases, is not collected, so SEC-heavy figures for layering, spoofing and marking the close understate US enforcement of them.
- Criminal prosecutions by the Department of Justice are not collected as records of their own. Many appear only through the criminal-parallel flag on the SEC record, which is a reading of the release text.