About

Open Data


On this page:

  1. Open Data Directive
  2. Process to Open Data
  3. OSC Inventory of Datasets

Open Data Directive


In November 2015, the Government of Ontario introduced the Open Data Directive as part of its commitment to improve transparency, accountability and openness. The Open Data Directive requires all ministries and provincial agencies to:

  • Create an Inventory of Datasets within its custody and control.
  • Publish all Datasets in an Open Format (i.e. platform independent, machine readable and vendor-neutral), unless the dataset cannot be released for legal, security, confidentiality, privacy or commercially sensitive reasons.

To learn more about Ontario’s Open Data Directive, visit the Government of Ontario’s website.

Process to Open Data


A number of necessary steps are required before a dataset can be converted into open and machine-readable data. This includes identifying and prioritizing datasets for release, assessing data quality, reviewing datasets to determine whether there are any legal, security, confidentiality, privacy or commercial implications, and ensuring certain technical requirements are met. This process can take several months to a year, depending on the volume and complexity of the data that is being converted.

OSC Inventory of Datasets


The OSC Inventory of Datasets can be accessed here . It lists all of the OSC’s Datasets and identifies whether a Dataset is currently open, restricted, or under review. If a Dataset is “under review”, we are in the process of assessing whether it can be made public or is exempt from release for legal, security, confidentiality, privacy or commercially sensitive reasons.

Your access to and use of the OSC’s Datasets is subject to the

Access and use of OSC’s Datasets

Your access to and use of the OSC’s Datasets is subject to the Open Government Licence – Ontario (the “Licence”) set forth below. In the application of the Licence to OSC Datasets:

“Information” means the Datasets released as open data by the OSC and does not include any other content made available on or through the OSC’s Website.

“Information Provider” means, in respect of the OSC’s Datasets, the OSC.

The OSC requires the use of the following attribution statement:

“Contains information licensed under the Open Government Licence – Ontario.”


Open Government Licence – Ontario

You are encouraged to use the Information that is available under this licence with only a few conditions.

Using Information under this licence

  1. Use of any Information indicates your acceptance of the terms below.
  1. The Information Provider grants you a worldwide, royalty-free, perpetual, non-exclusive licence to use the Information, including for commercial purposes, subject to the terms below.

You are free to:

  1. Copy, modify, publish, translate, adapt, distribute or otherwise use the Information in any medium, mode or format for any lawful purpose.

You must, where you do any of the above:

  1. Acknowledge the source of the Information by including any attribution statement specified by the Information Provider(s) and, where possible, provide a link to this licence.

    If the Information Provider does not provide a specific attribution statement, or if you are using Information from several Information Providers and multiple attributions are not practical for your product or application, you must use the following attribution statement:

    Contains information licensed under the Open Government Licence – Ontario.
  1. The terms of this licence are important, and if you fail to comply with any of them, the rights granted to you under this licence, or any similar licence granted by the Information Provider, will end automatically.

Exemptions

  1. This licence does not grant you any right to use:
    1. Personal Information;
    2. Information or Records not accessible under the Freedom of Information and Protection of Privacy Act (Ontario);
    3. third party rights the Information Provider is not authorized to license;
    4. the names, crests, logos, or other official symbols of the Information Provider; and
    5. Information subject to other intellectual property rights, including patents, trade-marks and official marks.

Non-endorsement

  1. This licence does not grant you any right to use the Information in a way that suggests any official status or that the Information Provider endorses you or your use of the Information.

No warranty

  1. The Information is licensed "as is", and the Information Provider excludes all representations, warranties, obligations, and liabilities, whether express or implied, to the maximum extent permitted by law.
  1. The Information Provider is not liable for any errors or omissions in the Information, and will not under any circumstances be liable for any direct, indirect, special, incidental, consequential, or other loss, injury or damage caused by its use or otherwise arising in connection with this licence or the Information, even if specifically advised of the possibility of such loss, injury or damage.

Governing Law

  1. This licence is governed by the laws of the Province of Ontario and the applicable laws of Canada.
  2. Legal proceedings related to this licence may only be brought in the courts of Ontario.

Definitions

  1. In this licence, the terms below have the following meanings:

"Information"
means information resources or Records protected by copyright or other information or Records that are offered for use under the terms of this licence.

"Information Provider"
means Her Majesty the Queen in right of Ontario.

"Personal Information"
has the meaning set out in section 2(1) of Freedom of Information and Protection of Privacy Act (Ontario).

"Records"
has the meaning of "record" as set out in the Freedom of Information and Protection of Privacy Act (Ontario).

"You"
means the natural or legal person, or body of persons corporate or incorporate, acquiring rights under this licence.

Versioning

  1. This is version 1.0 of the Open Government Licence – Ontario. The Information Provider may make changes to the terms of this licence from time to time and issue a new version of the licence. Your use of the Information will be governed by the terms of the licence in force as of the date you accessed the information.

  • Inquiries & Contact Centre Statistics

    Statistics on the volume of contacts received by the Inquiries and Contact Centre from investors and market participants.

    The dataset includes aggregated figures on the volume of contacts received by the Inquiries and Contact Centre from investors and market participants, including (i) complaints, (ii) tips, and (iii) inquiries. The dataset also includes a percentage breakdown of the reasons for the contact.

    Branch: Strategy and Operations - Contact Centre
    Update frequency: Annually
    Access level: Under review
  • Audited Financial Statements

    Ontario Securities Commission's financial activities and position for the fiscal year.

    Ontario Securities Commission's financial activities and position for the fiscal year, including (i) statement of financial position, (ii) statement of comprehensive income, (iii) statement of changes in surplus, and (iv) statement of cash flows. The Ontario Securities Commission's financial statements are published annually on the Ontario Securities Commission's website and included in Volume 2 of the Ontario Government's Public Accounts.

    Branch: Corporate Services
    Update frequency: Annually
    Access level: Open/Public
    Dataset URL: http://www.osc.gov.on.ca/en/Publications_annual-report_index.htm
  • Travel, Meal and Hospitality Expenses

    Work-related travel, meal and hospitality expense claims for the fiscal year by certain Ontario Securities Commission officials.

    Work-related travel, meal and hospitality expense claims for the fiscal year by the chair, vice chair(s), executive director, commissioners, and the top five expense claimants (as determined in accordance with the Public Sector Expense Review Act).

    Branch: Corporate Services
    Update frequency: Annually
    Access level: Open/Public
    Dataset URL: http://www.osc.gov.on.ca/en/About_expense-disclosure_index.htm
  • Respondents Delinquent in Payment of Commission Orders

    Respondents who are delinquent in paying administrative penalties, disgorgement orders and/or costs imposed in enforcement proceedings before the Commission.

    Respondents who are delinquent in paying administrative penalties, disgorgement orders and/or costs imposed in enforcement proceedings before the Commission. For each respondent, the list indicates the amount owing individually and the amount owing jointly with other respondents, as well as whether the full or partial amount is outstanding. The list does not include those matters that are under appeal, or for those respondents who are in compliance with a payment schedule.

    Branch: Corporate Services
    Update frequency: Quarterly
    Access level: Under review
  • Annual Procurement Report under Agreement on Internal Trade and under Trade and Cooperation Agreement between Ontario and Quebec

    Annual report to Ministry of Finance on procurements valued at or above the applicable thresholds under the Agreement on Internal Trade and Cooperation Agreement between Ontario and Quebec.

    This report covers goods procurements valued at or above $25,000; and services and construction procurements valued at or above $100,000. For each procurement the following is specified: (i) vendor name, (ii) procurement description, (iii) category, (iv) exception type (if applicable) and (v) value.

    Branch: Corporate Services
    Update frequency: Annually
    Access level: Under review
  • Annual Procurement Report under Management Board of Cabinet Procurement Directive on Advertising, Public and Media Relations, and Creative Communications Services

    Annual report to Advertising Review Board on procurements for advertising, public and media relations, and creative communications valued at or above $25,000.

    Dataset includes: (i) supplier name, (ii) project name and description, (iii) type of service, (iv) start and end dates, (v) estimated total contract value, (vi) supply source and acquisition procedure, (vii) number of vendors/suppliers invited to compete, (viii) reason for non-competitive acquisition (if applicable), (ix) original contract ceiling price, (x) current or final contract ceiling price, (xi) any contract extensions and explanation, (xii) expenditures this fiscal year, (xiii) total expenditures to date, (xiv) deliverables received, and (xv) other information.

    Branch: Corporate Services
    Update frequency: Annually
    Access level: Under review
  • Employee Work-Related Travelling Locations

    Locations travelled to by employees for work-related purposes during the fiscal year.

    Locations travelled to by employees for work-related purposes during the fiscal year, including: (i) dates of travel, (ii) destination (city and country), (iii) employee name, (iv) purpose of travel, and (v) country's risk assessment under travel advice and advisories issued by Government of Canada.

    Branch: Corporate Services
    Update frequency: Annually
    Access level: Under review
  • Requests for Public Records

    Internal and external requests for the records of Ontario Securities Commission proceedings, company disclosures and registrant records which are not available online.

    Internal and external requests for: (i) Tribunal hearing materials, (ii) exempt market filings, (iii) applications filed by issuers and exempt market filings, (iv) public company filings not found on SEDAR or SEDI, (v) registration of individual or notice of termination; and (vi) opportunity to be heard records. The dataset includes: date of request, date of response, type of request, requestor, requestor's firm, and fees (if any).

    Branch: Corporate Services
    Update frequency: Annually
    Access level: Under review
  • List of Firm Registrants

    Registered firms whose principal regulator is the Ontario Securities Commission.

    Registered firms whose principal regulator is the Ontario Securities Commission. This dataset includes: (i) firm name and (ii) category of registration.

    Branch: Compliance and Registrant Regulation
    Update frequency: Other
    Access level: Under review
  • List of individual Registrants

    Registered individuals whose principal regulator is the Ontario Securities Commission.

    Registered individuals whose principal regulator is the Ontario Securities Commission. This dataset includes: (i) legal name, (ii) sponsoring firm, and (iii) categories of registration.

    Branch: Compliance and Registrant Regulation
    Update frequency: Annually
    Access level: Under review
  • Outcomes of Registrant Compliance Reviews

    Outcomes of the Compliance and Registrant Regulation branch's compliance reviews of registered firms for the fiscal year.

    Dataset includes the percentage of registrant compliance reviews conducted by the Compliance and Registrant Regulation branch for the fiscal year that resulted in: (i) enhanced compliance, (ii) significantly enhanced compliance, (iii) terms and conditions on registration, (iv) surrender of registration, (v) referral to Enforcement Branch, and (vi) suspension of registration.

    Branch: Compliance and Registrant Regulation
    Update frequency: Annually
    Access level: Under review
  • Regulatory Action against Registrants

    Number of firm or individual registrants subject to regulatory action by the Compliance and Registrant Regulation branch due to misconduct or serious non-compliance with Ontario securities law

    Number of registrants subject to regulatory action from the Compliance and Registrant Regulation branch including: (i) terms and conditions on registration, (ii) denial of registration, (iii) suspension of registration, (iv) referral to Enforcement Branch, (v) section 8 review request, (vi) warning letter, and (vii) other.

    Branch: Compliance and Registrant Regulation
    Update frequency: Annually
    Access level: Under review
  • Compliance and Registrant Regulation Branch Service Standards

    Service standards and submission volumes for the Compliance and Registrant Regulation Branch.

    Service standard results for routine, complete applications for registration, notices of termination, and applications for exemptive relief completed by the Compliance and Registrant Regulation branch.

    Branch: Compliance and Registrant Regulation
    Update frequency: Annually
    Access level: Under review
  • Take-Over Bid, Issuer Bid, and Specified Information Circular Filings - Related Fees

    List of take-over bid, issuer bid, and specified information circulars filed in Ontario and for which a fee is required.

    This dataset includes: (i) name of issuer, (ii) date of filing, (iii) fees paid, and (iv) name and contact information of filer.

    Branch: Office of Mergers & Acquisitions
    Update frequency: Annually
    Access level: Under review
  • Ontario Securities Commission Public Sector Salary Disclosure

    Employees who were paid $100,000 or more during the calendar year.

    Employees who were paid $100,000 or more during the calendar year and disclosed under the Public Sector Salary Disclosure Act. The dataset includes: (i) employee name, (ii) position title, (iii) salary paid, and (iv) taxable benefits.

    Branch: Human Resources
    Update frequency: Annually
    Access level: Under review
  • New Hire Report

    Report of new employees.

    Dataset includes: (i) employee name, (ii) title, (iii) employment status (permanent, contract, full-time, part-time), and (iv) hire date.

    Branch: Human Resources
    Update frequency: Annually
    Access level: Restricted
    Exemption: Confidentiality
    Rationale not to release: Dataset includes personal information
  • Employee Termination Report

    Report of terminated employees.

    Dataset includes: (i) employee name, (ii) title, (iii) employment status (permanent, contract, full-time, part-time), and (iv) termination date.

    Branch: Human Resources
    Update frequency: Annually
    Access level: Restricted
    Exemption: Confidentiality
    Rationale not to release: Dataset includes personal information
  • Workforce Data

    Data related to employee positions.

    Dataset includes: (i) employee name, (ii) title, (iii) employment status (permanent, contract, full-time, part-time), (iv) salary, (v) job grade, and (vi) whether professional designation is required for position.

    Branch: Human Resources
    Update frequency: As required
    Access level: Restricted
    Exemption: Confidentiality
    Rationale not to release: Dataset includes personal information
  • Employee Demographics

    Employees' personal information.

    Dataset includes: (i) employee name, (ii) address, (iii) social insurance number, and (iv) date of birth.

    Branch: Human Resources
    Update frequency: As required
    Access level: Restricted
    Exemption: Confidentiality
    Rationale not to release: Dataset includes personal information
  • Employee Absence Information

    Number of days employees absent from work.

    Dataset includes: (i) employee name, (ii) number of sick days, (iii) vacation days, and (iv) personal days.

    Branch: Human Resources
    Update frequency: Quarterly
    Access level: Restricted
    Exemption: Confidentiality
    Rationale not to release: Dataset includes personal information
  • Employee Performance Related Data

    Data related to annual performance appraisals of employees.

    Dataset includes: (i) employee name, (ii) title, (iii) job grade, and (iv) performance rating.

    Branch: Human Resources
    Update frequency: Annually
    Access level: Restricted
    Exemption: Confidentiality
    Rationale not to release: Dataset includes personal information
  • Employee Accessibility Training

    Employees who have completed the training required under the Accessibility for Ontarians with Disability Act and the Occupational Health and Safety Act.

    Employees who have completed the training required under the Accessibility for Ontarians with Disability Act and the Occupational Health and Safety Act. Dataset includes: (i) employee name, (ii) title, and (iii) dates training completed.

    Branch: Human Resources
    Update frequency: As required
    Access level: Restricted
    Exemption: Confidentiality
    Rationale not to release: Dataset includes personal information
  • Regulated Entities

    Quarterly list of Regulated Entities with breakdown by type.

    List of entities in each category/type: - Exchanges - Clearing Agencies - Alternative Trading Systems - Information Processors - Swap Exchange Facilities - Self Regulatory Organizations - Trade Repositories

    Branch: Market Regulation
    Update frequency: Quarterly
    Access level: Open/Public
    Dataset URL: http://www.osc.gov.on.ca/en/Marketplaces_index.htm
  • Summary of Clearing Statistics

    Statistics built from reports filed by Clearing Agencies under requirements in recognition/exemption orders.

    Generally these summaries include: (i) volume and value of trades cleared by each clearing agency, (ii) open interest, (iii) number of participants, (iv) collateral information (default fund and margin), and (v) risk management information related to stress testing and back testing.

    Branch: Market Regulation
    Update frequency: Other
    Access level: Under review
  • Summary of Marketplace Data

    Summaries based on data received from marketplaces under Form 21-101F3 (Quarterly Report of Marketplace Activities). The forms are received via internet submissions.

    Summaries include: (i) number of trades executed for equities, types of crosses, (ii) most active participants, (iii) system outages and planned improvements, (iv) exchange traded funds, (v) debt and options, and (vi) activity on the marketplace based on the number and types of orders entered and cancelled.

    Branch: Market Regulation
    Update frequency: Quarterly
    Access level: Restricted
    Exemption: Confidentiality
    Rationale not to release: Confidential by Commission Order
  • Summary of Swap Exchange Facilities Statistics

    Summary of statistics reported by swap exchange facilities under requirements in exemption orders.

    Requirements include volume and value of trades traded broken down by asset class.

    Branch: Market Regulation
    Update frequency: Quarterly
    Access level: Under review
  • Aggregated Over-the-Counter Derivatives Data

    Weekly aggregate Canadian over-the-counter derivatives data reported to trade repositories.

    Public aggregate data consolidated from Chicago Mercantile Exchange, ICE Trade Vault (ICE) and The Depository Trust & Clearing Corporation. Over-the-counter derivatives data aggregated by: - Outstanding Notional Amounts and Number of Transactions - Activity as measured by Transactions and Notional Amounts

    Branch: Derivatives
    Update frequency: Other
    Access level: Under review
  • Non-Investment Fund Prospectuses approved by the Ontario Securities Commission

    Non-investment fund prospectuses approved by the Ontario Securities Commission including as principal and non-principal regulator.

    Non-investment fund prospectuses approved by the Ontario Securities Commission, including: (i) filing date, (ii) issuer name, (iii) whether the Ontario Securities Commission is principal or non-principal regulator, (iv) industry type, and (v) date of approval.

    Branch: Corporate Finance
    Update frequency: Annually
    Access level: Under review
  • Non-Investment Fund Exemptive Relief Applications approved by the Ontario Securities Commission

    Non-investment fund exemptive relief applications filed with the Ontario Securities Commission, including as principal and non-principal regulator.

    Non-investment fund exemptive relief applications filed with the Ontario Securities Commission, including: (i) filing date, (ii) issuer name, (iii) whether the Ontario Securities Commission is principal or non-principal regulator, and (iv) date of approval.

    Branch: Corporate Finance
    Update frequency: Annually
    Access level: Under review
  • Exempt Market Distributions

    List of all exempt market distributions filed with the Ontario Securities Commission since April 1, 2014.

    Exempt market distribution reports filed with the Ontario Securities Commission, specifying: (i) report submission date, (ii) issuer name, (iii) date of first distribution, (iv) capital raised in Ontario, and (v) number of purchasers in Ontario.

    Branch: Corporate Finance
    Update frequency: Monthly
    Access level: Open/Public
    Dataset URL: http://www.osc.gov.on.ca/en/exempt-distributions-summary.htm
  • Reporting Issuers in Ontario

    Annual report of reporting issuers in Ontario by principal regulator.

    Dataset includes a list of reporting issuers in Ontario, where the Ontario Securities Commission is the principal regulator or non-principal regulator. The dataset identifies the principal regulator for each issuer.

    Branch: Corporate Finance
    Update frequency: Annually
    Access level: Under review
  • Women on Boards and in Executive Officer Positions

    Data regarding women on boards and in executive officer positions of Toronto Stock Exchange-listed reporting issuers.

    The data includes: (i) name, industry and year-end of the Toronto Stock Exchange-listed reporting issuers whose disclosure was reviewed by participating jurisdictions, (ii) number and proportion of women on the issuer's board and in executive officer positions, (iii) and details regarding issuers’ disclosure of policies, targets and considerations made for women on boards and in executive officer positions.

    Branch: Corporate Finance
    Update frequency: Annually
    Access level: Open/Public
    Dataset URL: http://www.osc.gov.on.ca/en/NewsEvents_nr_20151111_detailed-data-women-on-boards.htm
  • Investment Fund Prospectuses filed with the Ontario Securities Commission

    Prospectuses for investment funds filed with the Ontario Securities Commission, including as principal regulator and non-principal regulator.

    Prospectuses filed with the Ontario Securities Commission for investment funds, including: (i) filing date, (ii) issuer name, (iii) whether the Ontario Securities Commission is principal or non-principal regulator, (iv) industry type, and (v) date of approval.

    Branch: Investment Funds and Structured Products
    Update frequency: Annually
    Access level: Under review
  • Investment Fund Exemptive relief applications filed with the Ontario Securities Commission

    Exemptive relief applications relating to investment fund matters filed with the Ontario Securities Commission, including as principal and non-principal regulator.

    Exemptive relief applications relating to investment funds filed with the Ontario Securities Commission, including: (i) filing date, (ii) issuer name, (iii) whether the Ontario Securities Commission is principal or non-principal regulator, and (iv) date of approval.

    Branch: Investment Funds and Structured Products
    Update frequency: Annually
    Access level: Under review
  • Enforcement Proceedings Commenced (calendar year)

    Enforcement proceedings commenced (commission and court) in the calendar year.

    Enforcement proceedings commenced in the calendar year, including: (i) respondent(s) name(s), (ii) date, (iii) proceeding type (commission, quasi-criminal, civil, criminal), and (iv) number of respondents (corporation/individual). Proceedings are sorted by primary alleged violation type.

    Branch: Enforcement
    Update frequency: Annually
    Access level: Under review
  • Enforcement Proceedings Commenced (fiscal year)

    Enforcement proceedings commenced (commission and court) during the fiscal year.

    Enforcement proceedings commenced including: (i) respondent(s) name(s), (ii) date, (iii) proceeding type (commission, quasi-criminal, civil, criminal), and (iv) number of respondents (corporation/individual).

    Branch: Enforcement
    Update frequency: Annually
    Access level: Under review
  • Enforcement Interim Orders (calendar year)

    Interimorders obtained in the calendar year. Interim prders include temporary orders and freeze directions.

    Interim orders obtained in the calendar year, including: (i) respondent(s) name(s), (ii) date; (iii) number of respondents (corporation/individual), and (iv) total amount frozen. Proceedings are sorted by primary alleged violation type.

    Branch: Enforcement
    Update frequency: Annually
    Access level: Under review
  • Enforcement Interim Orders (fiscal year)

    Interim orders obtained in the fiscal year. Interim orders include temporary orders and freeze directions.

    Interim orders obtained in the fiscal year, including: (i) respondent(s) name(s), (ii) date, (iii) number of respondent (corporation/individual), and (iv) total amount frozen. Proceedings are sorted by primary alleged violation type.

    Branch: Enforcement
    Update frequency: Annually
    Access level: Under review
  • Enforcement Proceedings Concluded (calendar year)

    Commission and court proceedings concluded in the calendar year.

    Commission and court proceedings concluded in the calendar year, including: (i) respondent(s) name(s), (ii) date, and (iii) sanctions ordered. Proceedings are sorted by violation type.

    Branch: Enforcement
    Update frequency: Annually
    Access level: Under review
  • Enforcement Proceedings Concluded (fiscal year)

    Commission and court proceedings concluded in the fiscal year.

    Commission and court proceedings concluded in the fiscal year, including: (i) respondent(s) name(s), (ii) date; and (iii) sanctions ordered. Proceedings are sorted by violation type.

    Branch: Enforcement
    Update frequency: Annually
    Access level: Under review
  • Enforcement Proceedings Appealed (calendar year)

    Commission and court proceedings appealed in the calendar year.

    Commission and court proceedings appealed in the calendar year, including: (i) appellant(s) name(s), (ii) date, and (iii) outcome of appeal. Proceedings are sorted by violation type.

    Branch: Enforcement
    Update frequency: Annually
    Access level: Under review
  • Enforcement Proceedings Appealed (fiscal year)

    Commission and court proceedings appealed in the fiscal year.

    Commission and court proceedings appealed in the fiscal year, including: (i) appellant(s) name(s), (ii) date, and (iii) outcome of appeal. Proceedings are sorted by violation type.

    Branch: Enforcement
    Update frequency: Annually
    Access level: Under review
  • Reciprocal Orders (calendar year)

    Reciprocal orders obtained in the calendar year.

    Reciprocal orders obtained in the calendar year, including: (i) respondent(s) name(s), (ii) date, and (iii) sanctions ordered. Orders are sorted by violation type.

    Branch: Enforcement
    Update frequency: Annually
    Access level: Under review
  • Reciprocal Orders (fiscal year)

    Reciprocal orders obtained in the fiscal year.

    Reciprocal orders obtained in the fiscal year, including: (i) respondent(s) name(s), (ii) date; and (iii) sanctions ordered. Orders are sorted by violation type.

    Branch: Enforcement
    Update frequency: Annually
    Access level: Under review
  • Incoming Requests for Assistance under Memoranda of Understanding (fiscal year)

    Incoming requests for assistance received by Enforcement staff under Memoranda of Understanding with other regulators during the fiscal year.

    Total number of incoming requests for assistance under Memoranda of Understanding, including whether the request is domestic,international, or from the United States.

    Branch: Enforcement
    Update frequency: Annually
    Access level: Under review
  • Outgoing Requests for Assistance Memoranda of Understanding (fiscal year)

    Outgoing requests for assistance made by Enforcement staff under Memoranda of Understanding with other regulators during the fiscal year.

    Total number of outgoing requests for assistance under Memoranda of Understanding, including whether the request is domestic, international, or to the United States.

    Branch: Enforcement
    Update frequency: Annually
    Access level: Under review
  • Investor Warning List/Investor Alert List (fiscal year)

    Companies or individuals added to either the Investor Warning List or the Investor Alert List during the fiscal year.

    The includes: (i) Warning List or Alert List, (ii) number of companies/individuals, (iii) Posted Date, and (iv) and closing date.

    Branch: Enforcement
    Update frequency: Annually
    Access level: Under review
  • Enforcement Branch - Information Requests (fiscal year)

    Number of requests for information from both internal and external sources.

    Total number of information requests from both internal and external sources that have been processed by the Enforcement Branch.

    Branch: Enforcement
    Update frequency: Annually
    Access level: Under review