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Reports and Publications

Reports and Publications

 
This listing includes common periodic SEC reports.

Note: For periodic FOIA reports on Alternative Trading Systems, Fails-to-Deliver Data, Registered Investment Advisers and Broker Dealers, see Frequently Requested FOIA Documents. For occasional reports on current trends and issues facing the securities industry, see SEC Special Studies.
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Date Title Category
Aug. 18, 2014 2014 Inventory (pdf)
FAIR Act
Aug. 15, 2014 Annual Staff Report Relating to the Use of Data Collected from Private Fund Systemic Risk Reports (pdf)
Special Studies
Aug. 5, 2014 Audit of the SEC’s Physical Security Program, Report No. 523 (pdf)
Inspector General
July 7, 2014 Staff Observations of Custom Tag Rates
Economic and Risk Analysis
June 30, 2014 Report on Objectives - Office of the Investor Advocate (pdf)
Annual Reports
June 5, 2014 Short Sale Position and Transaction Reporting (pdf)
Economic and Risk Analysis
Special Studies
June 3, 2014 Review of the SEC’s Practices for Sanitizing Digital Information System Media (pdf)
Inspector General
May 23, 2014 Semiannual Management Report (May 2014) (pdf)
May 23, 2014 Semiannual Report to Congress, October 1, 2013, through March 31, 2014 (pdf)
Inspector General
April 30, 2014 Report on Administrative Proceedings For the Period October 1, 2013 through March 31, 2014 (pdf)
Special Studies
April 18, 2014 SEC OMWI FY 2013 Annual Report to Congress (pdf)
Minority and Women Inclusion
Annual Reports
April 4, 2014 Federal Information Security Management Act: Fiscal Year 2013 Evaluation (pdf)
Inspector General
April 2, 2014 Controls Over the SEC’s Government Purchase Card Program, Report No. 517 (pdf)
Inspector General
March 14, 2014 2013: Division of Investment Management Year in Review (pdf)
Investment Management
Annual Reports
March 7, 2014 FY 2015 Congressional Justification and Performance Plan & FY 2013 Annual Performance Report
Budget Reports
Feb. 27, 2014 Q&A: Small Business and the SEC
Investor Publications
Feb. 19, 2014 Identity Theft: Learn How To Protect Yourself
Investor Publications
Feb. 19, 2014 Understanding Investment Professional Designations (tips from FINRA)
Investor Publications
Feb. 13, 2014 List of Exhibits to Report of Investigation (doc)
Inspector General
Jan. 27, 2014 Purchase Card and Convenience Check Transaction or Programs (pdf)
Inspector General
Jan. 12, 2014 Beginners' Guide to Financial Statements
Investor Education and Advocacy
Investor Publications
Dec. 24, 2013 2013 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (pdf)
Special Studies
Dec. 20, 2013 JOBS Act Section 108 Report to Congress on Review of Disclosure Requirements in Regulation S-K (pdf)
Special Studies
Dec. 16, 2013 2013 Agency Financial Report
Annual Reports
Dec. 1, 2013 Annual Report to Congress - June 26, 2012 to June 25, 2013 (pdf)
Credit Ratings
Annual Reports
Nov. 27, 2013 Semiannual Management Report (pdf)
Nov. 21, 2013 Report to Congress on Credit Rating Agency Independence Study (pdf)
Special Studies
Nov. 18, 2013 2013 Annual Report on the Dodd-Frank Whistleblower Program (pdf)
Whistleblower
Annual Reports
Oct. 30, 2013 Report on Administrative Proceedings for the Period April 1, 2013 through September 30, 2013 (pdf)
Special Studies
Oct. 9, 2013 Affinity Fraud: How to Avoid Investment Scams That Target Group
Investor Publications
Oct. 2, 2013 HSPD-12 Implementation Status Report (Personal Identification Verification (PIV) Credentials) (pdf)
Sept. 30, 2013 Semiannual Report to Congress: April 1, 2013 through September 30, 2013 (pdf)
Inspector General
Sept. 18, 2013 Microcap Stock: A Guide for Investors
Investor Publications
Sept. 5, 2013 "Phishing" Fraud: How to Avoid Getting Fried by Phony Phishermen
Investor Publications
Sept. 3, 2013 Library of Congress Office of Inspector General System Review Report (pdf)
Inspector General
Aug. 7, 2013 2013 Inventory (pdf)
FAIR Act
July 25, 2013 Annual Staff Report Relating to the Use of Data Collected from Private Fund Systemic Risk Reports (pdf)
Special Studies
June 6, 2013 Use of the Current Guidance on Economic Analysis in SEC Rulemakings (pdf)
Inspector General
June 6, 2013 Implementation of the Current Guidance on Economic Analysis in SEC Rulemakings (pdf)
Inspector General
April 30, 2013 Report on Administrative Proceedings for the Period October 1, 2012 through March 31, 2013 (pdf)
Special Studies
April 30, 2013 Fourth Report on the Implementation of SEC Organizational Reform Recommendations (pdf)
Special Studies
April 24, 2013 Office of Minority and Women Inclusion Annual Report (pdf)
Annual Reports
April 19, 2013 A Guide for Seniors: Protect Yourself Against Investment Fraud (pdf)
Investor Publications
April 10, 2013 FY 2014 Congressional Justification and Performance Plan & FY 2012 Annual Performance Report
Budget Reports
March 31, 2013 Semiannual Report to Congress: October 1, 2012 through March 31, 2013 (pdf)
Inspector General
March 29, 2013 2012 FISMA Executive Summary (pdf)
Inspector General
March 29, 2013 Audit of the SEC's Filing Fees Program (pdf)
Inspector General
March 29, 2013 Audit of SEC's Controls over Support Service, Expert and Consulting Service Contracts (pdf)
Inspector General
March 27, 2013 Review of the SEC's Systems Certification and Accreditation Process (pdf)
Inspector General
March 25, 2013 SEC's Controls Over Sensitive/Nonpublic Information Collected and Exchanged With the Financial Stability Oversight Council and Office of Financial Research, Report (pdf)
Inspector General
Feb. 6, 2013 Select SEC and Market Data 2012 (pdf)
Jan. 31, 2013 SEC FY 2012 Conference Spending (pdf)
Annual Reports
Jan. 18, 2013 Evaluation of the SEC's Whistleblower Program (pdf)
Inspector General
Jan. 16, 2013 Trade Execution: What Every Investor Should Know
Investor Publications
Jan. 16, 2013 Investment Clubs and the SEC
Investor Publications
Jan. 16, 2013 Rule 144: Selling Restricted and Control Securities
Investor Publications
Dec. 19, 2012 2012 Report and Certification (pdf)
Internal Supervisory Controls
Dec. 18, 2012 Assigned Credit Ratings (pdf)
Special Studies
Dec. 4, 2012 Researching the Federal Securities Laws Through the SEC Website
Investor Publications
Dec. 1, 2012 Annual Report to Congress - June 26, 2011 to June 25, 2012 (pdf)
Credit Ratings
Annual Reports
Nov. 19, 2012 Investigation Into Misuse of Resources and Violations of Information Technology Security Policies Within the Division of Trading and Markets
Inspector General
Nov. 15, 2012 2012 Annual Report on the Dodd-Frank Whistleblower Program (pdf)
Whistleblower
Annual Reports
Nov. 15, 2012 2012 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (pdf)
Special Studies
Oct. 25, 2012 Report on Administrative Proceedings for the Period April 1, 2012 through September 30, 2012 (pdf)
Special Studies
Oct. 17, 2012 Third Report on the Implementation of SEC Organizational Reform Recommendations (pdf)
Special Studies
Oct. 16, 2012 JOBS Act Section 504 Report on Authority to Enforce Exchange Act Rule 12g5-1 and Subsection (b)(3) (pdf)
Special Studies
Sept. 30, 2012 The Office of International Affairs Internal Operations and Travel Oversight (pdf)
Inspector General
Sept. 30, 2012 SEC's Records Management Practices (pdf)
Inspector General
Sept. 30, 2012 Semiannual Report to Congress: April 1, 2012 through September 30, 2012 (pdf)
Inspector General
Sept. 24, 2012 Guide to Insider Trading: Online Publications at the SE
Investor Publications
Sept. 7, 2012 Report on Credit Rating Standardization (pdf)
Special Studies
Aug. 30, 2012 SEC Staff Study Regarding Financial Literacy Among Investors
Special Studies
Aug. 14, 2012 International Investing: Get the Facts
Investor Publications
Aug. 8, 2012 Introduction to 529 Plans
Investor Publications
Aug. 7, 2012 Investment Advisers: What You Need to Know Before Choosing One
Investor Publications
July 31, 2012 Report on the Municipal Securities Market (pdf)
Special Studies
July 20, 2012 JOBS Act Section 106 Report to Congress on Decimalization (pdf)
Special Studies
July 12, 2012 2012 Inventory (pdf)
FAIR Act
April 30, 2012 Report on Administrative Proceedings for the Period October 1, 2011 through March 31, 2012 (pdf)
Special Studies
April 23, 2012 Review of the SEC's Continuity of Operations Program (pdf)
Inspector General
April 11, 2012 Study on the Cross-Border Scope of the Private Right of Action Under Section 10(b) of the Securities Exchange Act of 1934
Special Studies
April 10, 2012 Office of Minority and Women Inclusion Annual Report (pdf)
Annual Reports
March 31, 2012 Semiannual Report to Congress: October 1, 2011 through March 31, 2012 (pdf)
Inspector General
March 30, 2012 Report on the Implementation of SEC Organizational Reform Recommendations (pdf)
Special Studies
March 28, 2012 SEC's Controls Over Government Furnished Equipment and Contractor Acquired Property (pdf)
Inspector General
March 28, 2012 SEC's Use of Justifications and Approvals in Sole-Source Contracting (pdf)
Inspector General
March 16, 2012 Assessment of SEC's System and Network Logs (pdf)
Inspector General
March 1, 2012 Annual Report to Congress - June 26, 2010 to June 25, 2011 (pdf)
Credit Ratings
Annual Reports
Feb. 15, 2012 Congressional Justification FY 2013 in Brief (pdf)
Budget Reports
Feb. 2, 2012 2011 Annual FISMA Executive Summary Report (pdf)
Inspector General
Feb. 1, 2012 Joint Report on International Swap Regulation (pdf)
Special Studies
Jan. 27, 2012 Follow-Up Review of Cost-Benefit Analyses in Selected SEC Dodd-Frank Act Rulemakings (pdf)
Inspector General
Jan. 24, 2012 Protect Your Money: Check Out Brokers and Investment Advisers
Investor Publications
Jan. 19, 2012 Researchers and Librarians—Easy Access to Selected Securities and Investor Information at the SEC
Investor Publications
Jan. 3, 2012 Select SEC and Market Data 2011 (pdf)
Jan. 1, 2012 2012 Agency Financial Report
Annual Reports
Dec. 16, 2011 2011 Report and Certification (pdf)
Internal Supervisory Controls
Nov. 14, 2011 2011 Annual Report on the Dodd-Frank Whistleblower Program (pdf)
Whistleblower
Annual Reports
Nov. 4, 2011 Report on Administrative Proceedings for the Period April 1, 2011 through September 30, 2011 (pdf)
Special Studies
Oct. 6, 2011 “Mutual-to-Stock” Conversions: Tips for Investor
Investor Publications
  
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Date

Date: Aug. 18, 2014

Title: 2014 Inventory (pdf)

Category: FAIR Act

Date: July 7, 2014

Title: Staff Observations of Custom Tag Rates

Category:

Date: June 30, 2014

Title: Report on Objectives - Office of the Investor Advocate (pdf)

Category: Annual Reports

Date: June 5, 2014

Title: Short Sale Position and Transaction Reporting (pdf)

Category: Special Studies

Date: May 23, 2014

Title: Semiannual Management Report (May 2014) (pdf)

Category:

Date: April 18, 2014

Title: SEC OMWI FY 2013 Annual Report to Congress (pdf)

Category: Annual Reports

Date: March 14, 2014

Title: 2013: Division of Investment Management Year in Review (pdf)

Category: Annual Reports

Date: Feb. 27, 2014

Title: Q&A: Small Business and the SEC

Category: Investor Publications

Date: Feb. 19, 2014

Title: Identity Theft: Learn How To Protect Yourself

Category: Investor Publications

Date: Feb. 19, 2014

Title: Understanding Investment Professional Designations (tips from FINRA)

Category: Investor Publications

Date: Feb. 13, 2014

Title: List of Exhibits to Report of Investigation (doc)

Category:

Date: Jan. 12, 2014

Title: Beginners' Guide to Financial Statements

Category: Investor Publications

Date: Dec. 16, 2013

Title: 2013 Agency Financial Report

Category: Annual Reports

Date: Dec. 1, 2013

Title: Annual Report to Congress - June 26, 2012 to June 25, 2013 (pdf)

Category: Annual Reports

Date: Nov. 27, 2013

Title: Semiannual Management Report (pdf)

Category:

Date: Nov. 21, 2013

Title: Report to Congress on Credit Rating Agency Independence Study (pdf)

Category: Special Studies

Date: Nov. 18, 2013

Title: 2013 Annual Report on the Dodd-Frank Whistleblower Program (pdf)

Category: Annual Reports

Date: Oct. 9, 2013

Title: Affinity Fraud: How to Avoid Investment Scams That Target Group

Category: Investor Publications

Date: Sept. 18, 2013

Title: Microcap Stock: A Guide for Investors

Category: Investor Publications

Date: Sept. 5, 2013

Title: "Phishing" Fraud: How to Avoid Getting Fried by Phony Phishermen

Category: Investor Publications

Date: Aug. 7, 2013

Title: 2013 Inventory (pdf)

Category: FAIR Act

Date: April 24, 2013

Title: Office of Minority and Women Inclusion Annual Report (pdf)

Category: Annual Reports

Date: April 19, 2013

Title: A Guide for Seniors: Protect Yourself Against Investment Fraud (pdf)

Category: Investor Publications

Date: March 29, 2013

Title: 2012 FISMA Executive Summary (pdf)

Category:

Date: March 29, 2013

Title: Audit of the SEC's Filing Fees Program (pdf)

Category:

Date: Feb. 6, 2013

Title: Select SEC and Market Data 2012 (pdf)

Category:

Date: Jan. 31, 2013

Title: SEC FY 2012 Conference Spending (pdf)

Category: Annual Reports

Date: Jan. 18, 2013

Title: Evaluation of the SEC's Whistleblower Program (pdf)

Category:

Date: Jan. 16, 2013

Title: Trade Execution: What Every Investor Should Know

Category: Investor Publications

Date: Jan. 16, 2013

Title: Investment Clubs and the SEC

Category: Investor Publications

Date: Jan. 16, 2013

Title: Rule 144: Selling Restricted and Control Securities

Category: Investor Publications

Date: Dec. 19, 2012

Title: 2012 Report and Certification (pdf)

Category: Internal Supervisory Controls

Date: Dec. 18, 2012

Title: Assigned Credit Ratings (pdf)

Category: Special Studies

Date: Dec. 4, 2012

Title: Researching the Federal Securities Laws Through the SEC Website

Category: Investor Publications

Date: Dec. 1, 2012

Title: Annual Report to Congress - June 26, 2011 to June 25, 2012 (pdf)

Category: Annual Reports

Date: Nov. 15, 2012

Title: 2012 Annual Report on the Dodd-Frank Whistleblower Program (pdf)

Category: Annual Reports

Date: Sept. 30, 2012

Title: SEC's Records Management Practices (pdf)

Category:

Date: Sept. 24, 2012

Title: Guide to Insider Trading: Online Publications at the SE

Category: Investor Publications

Date: Sept. 7, 2012

Title: Report on Credit Rating Standardization (pdf)

Category: Special Studies

Date: Aug. 30, 2012

Title: SEC Staff Study Regarding Financial Literacy Among Investors

Category: Special Studies

Date: Aug. 14, 2012

Title: International Investing: Get the Facts

Category: Investor Publications

Date: Aug. 8, 2012

Title: Introduction to 529 Plans

Category: Investor Publications

Date: Aug. 7, 2012

Title: Investment Advisers: What You Need to Know Before Choosing One

Category: Investor Publications

Date: July 31, 2012

Title: Report on the Municipal Securities Market (pdf)

Category: Special Studies

Date: July 20, 2012

Title: JOBS Act Section 106 Report to Congress on Decimalization (pdf)

Category: Special Studies

Date: July 12, 2012

Title: 2012 Inventory (pdf)

Category: FAIR Act

Date: April 10, 2012

Title: Office of Minority and Women Inclusion Annual Report (pdf)

Category: Annual Reports

Date: March 30, 2012

Title: Report on the Implementation of SEC Organizational Reform Recommendations (pdf)

Category: Special Studies

Date: March 16, 2012

Title: Assessment of SEC's System and Network Logs (pdf)

Category:

Date: March 1, 2012

Title: Annual Report to Congress - June 26, 2010 to June 25, 2011 (pdf)

Category: Annual Reports

Date: Feb. 15, 2012

Title: Congressional Justification FY 2013 in Brief (pdf)

Category: Budget Reports

Date: Feb. 2, 2012

Title: 2011 Annual FISMA Executive Summary Report (pdf)

Category:

Date: Feb. 1, 2012

Title: Joint Report on International Swap Regulation (pdf)

Category: Special Studies

Date: Jan. 24, 2012

Title: Protect Your Money: Check Out Brokers and Investment Advisers

Category: Investor Publications

Date: Jan. 3, 2012

Title: Select SEC and Market Data 2011 (pdf)

Category:

Date: Jan. 1, 2012

Title: 2012 Agency Financial Report

Category: Annual Reports

Date: Dec. 16, 2011

Title: 2011 Report and Certification (pdf)

Category: Internal Supervisory Controls

Date: Nov. 14, 2011

Title: 2011 Annual Report on the Dodd-Frank Whistleblower Program (pdf)

Category: Annual Reports

Date: Oct. 6, 2011

Title: “Mutual-to-Stock” Conversions: Tips for Investor

Category: Investor Publications