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1999 Annual Report

SEC 1999 Annual Report

PDF Version

The 1999 Annual Report of the U.S. Securities and Exchange Commission is currently available in PDF (Adobe Acrobat) format. An HTML version will follow.

The PDF version does not include pages that were intentionally left blank in the print version. It also omits a few items from the Appendices.

Complete Report

This is a single large PDF file.

View the 1999 Annual Report (PDF file: 1.14 MB)

Report by Sections

Front Matter (letter of transmittal; Commission members and principal officers; biographies; office addresses)

Enforcement

International Affairs

Investor Education and Assistance

Regulation of Securities Markets

Investment Management Regulation

Compliance Inspections and Examinations

Full Disclosure System

Accounting and Auditing Matters

Other Litigation and Legal Activity

Municipal Securities Initiatives

Economic Research and Analysis

Policy Management and Administrative Support

Endnotes to the Report

Appendix Tables 1 – 7 and 9 (Enforcement Cases Initiated; Enforcement Cases by Program Area; Investigations of Possible Violations of the Acts; Administrative Proceedings; Injunctive Actions; Types of Proceedings; SRO data)

Appendix Tables 10 – 15 and 18 – 25 (Certificate of Immobilization; Exemptions; Corporate Reorganizations; The Securities Industry; Broker-Dealer data; Carrying and Clearing Firms; Securities Traded on Exchanges; Appropriated Funds vs Fees Collected; Budget Estimates and Appropriations)