How many companies are required to be SOX compliant? (How many publicly traded companies are there, excluding foreign entities?)

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The answer to your question will vary over time, but is somewhere in the neighborhood of 8,200 companies. To obtain this information from the SEC, you will have to make a request under the Freedom of Information Act (FOIA). The request must:

  1. Be in writing
  2. Specifically cite the FOIA
  3. Reasonably describe the records sought (by name, date, and subject matter)
  4. and
  5. Indicate a willingness to pay fees (specify the amount you are willing to pay) or ask for a fee waiver

There is no form to file. Just send a written request to the FOIA office by e-mail at foia/pa@sec.gov, fax: (703) 914-1149), or mail:

SEC, 6432 General Green Way
Mail stop 0-5
Alexandria, VA 22312-2413

Be sure to state your name, address and telephone number on your request. You need not say why you want the records.

The Nasdaq's Web site provides lists of companies and their corresponding stock symbols for securities traded on the Nasdaq, AMEX and NYSE only. The SEC does not maintain or control the Nasdaq's Web site.

Have more questions? Submit a request

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