Form OIP ORDR Files Dataset

Form OIP ORDR filings contain orders issued by the Securities and Exchange Commission that simultaneously institute administrative proceedings and impose findings or sanctions against respondents. These orders are issued pursuant to various sections of the Securities Exchange Act of 1934 and other federal securities statutes as part of the SEC's enforcement authority, typically addressing violations such as broker-dealer misconduct, registration revocations, or failures to comply with reporting obligations. The dataset includes all Form OIP ORDR filings submitted to EDGAR from February 2009 to present. For each accession number, a metadata file and all documents in the original EDGAR submission are included except image files. Each filing typically contains the legal caption identifying the respondents, a recitation of the statutory authority under which the proceeding is instituted, factual allegations describing the alleged violations, and the terms of any sanctions or remedial relief imposed by the Commission.

Dataset APIs

Dataset Files