SEC Administrative Proceedings

SEC Administrative Proceedings

Source:
Securities and Exchange Commission
File size:
17.2 MB
Dates covered:
1989-September 2009
Costs:
Note: For special orders, like state slices, please click here for information.
  • 50-200 market or circulation below 50,000: $25.00
  • 26-50 market or circulation 50,000-100,000: $35.00
  • Top 25 market or circulation over 100,000: $45.00




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 judges docket sheet, covers such proceedings from 1989 forward.

Record layouts and samples of this database:

Hover your mouse over any of the links below to see more information about each file.

Filename/TitleSize
Main SEC documentation (README08.txt)3.21 KB
Sample data (sec.xls)23 KB
Schema (SEC.pdf)128.91 KB

  • Story No. 20469: The prospect of investing in American stocks is a tempting option for Europeans and other internationals. But beware, says the WSJ, for a stock brokerage company called International Asset Management (IAM) is busy duping novice investors by selling them obscure shares. To worsen matters even the regulatory bodies refuse to cooperate. The report includes accounts by rookie investors in Dublin, Australia and Zurich who have been cheated by IAM and its various other affiliates elsewhere.
  • Tipsheet No. 585: Eaton provides a comprehensive list and definition of sources that a reporter should use when investigating a business. This handout also includes an "SEC Starter Kit".
  • Tipsheet No. 2544: This tipsheet walks you through the five most important SEC forms and filings; it explains what they are and why they are useful to journalists. They include: S-1, Registration Statement; 10-K Annual Report; 10-Q Quarterly Report; 14-A, Proxy Statement; 8-K, Current Report.
  • Tipsheet No. 2393: This tipsheet is basically a list of resources that are extremely helpful for reporters trying to integrate CAR into the business beat. Hansen breaks the tipsheet down into different sections, like Securities and Exchange Commission and Campaign Finance, and offers resources for each topic. She also includes a list of helpful databases available from the NICAR database library.