SEC Administrative Proceedings


Source Securities and Exchange Commission
File Size 17.2 MB
Dates Covered 1989-September 2008
Cost Snapshot

  • Nonmembers $75
  • Members $25
Categories: ,


Administrative proceedings are cases before the Securities and Exchange Commission administrative judges, as opposed to criminal cases or civil cases filed in federal courts. The administrative judges can issue cease-and-desist orders, hand out civil penalties, and bar parties to associate with investment advisers, brokers or dealers. The database also tracks administrative proceedings that parallel criminal or civil proceedings. The database, structured like a judge’s docket sheet, covers such proceedings from 1989 forward.

Record layouts and samples of this database

Main documentation (README08.txt) 3.2 KB
Sample Data (sec.xls) 23.0 KB
Schema (SEC.pdf) 128.9 KB

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