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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
June 30, 2016 Office of the Investor Advocate Report on Objectives for FY 2017 (PDF)
Investor Advocate
Annual Reports
June 22, 2016 Management of the SEC’s Protective Security Force Contract Needs Improvement, Report No. 536 (PDF)
Inspector General
June 2, 2016 Audit of the SEC’s Compliance with the Federal Information Security Modernization Act for Fiscal Year 2015, Report No. 535 (PDF)
Inspector General
May 25, 2016 Semiannual Management Report (May 2016) (PDF)
May 24, 2016 Semiannual Report to Congress: October 1, 2015, through March 31, 2016 (PDF)
Inspector General
April 27, 2016 Report on Administrative Proceedings For the Period October 1, 2015 through March 31, 2016 (PDF) Special Studies
April 22, 2016 SEC FY2015 Appendix B and C SCI Details (XLSX) Service Contract Inventory
April 22, 2016 2014-2018 Strategic Plan (PDF) Strategic Plan
April 20, 2016 Annual Equal Employment Opportunity Program Status Report 2015 (PDF)
Equal Employment Opportunity
March 31, 2016 Audit of the SEC’s Student Loan Repayment Program, Report No. 534 (PDF)
Inspector General
March 31, 2016 SEC OMWI FY 2015 Annual Report to Congress (PDF)
Minority and Women Inclusion
Annual Reports
March 31, 2016 Results of Inspector General’s Fiscal Year 2015 Purchase Card Program Risk Assessment (PDF)
Inspector General
March 10, 2016 Office of Compliance Inspections and Examinations' Management of Investment Adviser Examination Coverage Goals, Report No. 533 (PDF)
Inspector General
Feb. 11, 2016 Summary of Performance and Financial Information, Fiscal Year 2015 (PDF) Annual Reports
Feb. 11, 2016 Improvements Needed in Oversight of SEC-Sponsored Conferences, Report No. 532 (PDF)
Inspector General
Feb. 9, 2016 Final Report of Investigation, Administrative Law Judges, 15-ALJ-0482-I (PDF)
Inspector General
Feb. 9, 2016 Inspector General’s Review of the SEC's FY 2015 Compliance with the Improper Payments Information Act (PDF)
Inspector General
Feb. 9, 2016 FY 2017 Congressional Justification & FY 2015 Annual Performance Report and FY 2017 Annual Performance Plan Budget Reports
Feb. 5, 2016 Select SEC and Market Data 2015 (PDF) Select SEC and Market Data
Jan. 27, 2016 Review of the SEC’s Pay Transition Program, 15-ONR-0281-R (PDF)
Inspector General
Jan. 12, 2016 SEC FY2015 Supplement SCI (XLSX) Service Contract Inventory
Jan. 12, 2016 Planned Analysis of FY 2015 Inventory (PDF) Service Contract Inventory
Jan. 6, 2016 SEC FY 2015 Conference Spending (PDF) Conference Spending
Jan. 5, 2016 Peer Review: System Review Report on the Securities and Exchange Commission’s Office of Inspector General Audit Organization (PDF)
Inspector General
Jan. 5, 2016 Inspector General’s FY 2015 Letter to OMB on SEC’s Implementation of Purchase Card Program Audit Recommendations (PDF)
Inspector General
Dec. 28, 2015 Annual Report to Congress on Nationally Recognized Statistical Rating Organizations - June 26, 2014 – June 25, 2015 (PDF)
Credit Ratings
Annual Reports
Dec. 28, 2015 2015 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (PDF)
Credit Ratings
Special Studies
Dec. 23, 2015 2015 Report and Certification (PDF)
Corporation Finance
Compliance Inspections and Examinations
Credit Ratings
Enforcement
Internal Supervisory Controls
Dec. 23, 2015 Office of the Investor Advocate FY 2015 Report on Activities (PDF)
Investor Advocate
Annual Reports
Dec. 18, 2015 Report on the Review of the Definition of “Accredited Investor” (PDF)
Corporation Finance
Special Studies
Dec. 7, 2015 Semiannual Management Report (November 2015) (PDF)
Dec. 7, 2015 How the SEC Handles Your Complaint (PDF)
Investor Education and Advocacy
Investor Publications
Dec. 1, 2015 Office of Inspector General
Inspector General
Nov. 18, 2015 Semiannual Report to Congress: April 1, 2015, through September 30, 2015 (PDF)
Inspector General
Nov. 16, 2015 Fiscal Year 2015 Agency Financial Report Annual Reports
Nov. 16, 2015 2015 Annual Report on the Dodd-Frank Whistleblower Program (PDF)
Whistleblower
Annual Reports
Nov. 3, 2015 SEC FY 2014 Conference Spending (PDF) Conference Spending
Oct. 29, 2015 Report on Administrative Proceedings for the Period April 1, 2015 through September 30, 2015 (PDF) Special Studies
Sept. 30, 2015 Improvements Needed in the Division of Enforcement's Oversight of Fund Administrators, Report No. 531 (PDF)
Inspector General
Sept. 25, 2015 Review of Non-Career Officials’ Involvement in the SEC’s FOIA Response Process (PDF)
Inspector General
Sept. 18, 2015 Audit of the SEC's Contracting Officer's Representative Program, Report No. 530 (PDF)
Inspector General
Aug. 13, 2015 Annual Staff Report Relating to the Use of Data Collected from Private Fund Systemic Risk Reports (PDF)
Investment Management
Special Studies
Aug. 7, 2015 Interim Report of Investigation, Administrative Law Judges, 15-ALJ-0482-I (PDF)
Inspector General
July 13, 2015 Joint Staff Report: The U.S. Treasury Market on October 15, 2014 (PDF) Special Studies
July 6, 2015 Final Management Letter: Evaluation of the SEC’s Use of the Reserve Fund (PDF)
Inspector General
June 30, 2015 Office of the Investor Advocate Report on Objectives for FY 2016 (PDF)
Investor Advocate
Annual Reports
May 27, 2015 Semiannual Management Report (May 2015) (PDF)
May 26, 2015 Semiannual Report to Congress: October 1, 2014, through March 31, 2015 (PDF)
Inspector General
May 20, 2015 Final Management Letter: Observations Noted During TCR System Audit Support Engagement (PDF)
Inspector General
April 30, 2015 Report on Administrative Proceedings For the Period October 1, 2014 through March 31, 2015 (PDF) Special Studies
April 15, 2015 OCIE-FINRA Report on National Senior Investor Initiative (PDF)
Compliance Inspections and Examinations
April 10, 2015 Annual Equal Employment Opportunity Program Status Report 2014 (PDF)
Equal Employment Opportunity
April 6, 2015 SEC OMWI FY 2014 Annual Report to Congress (PDF)
Minority and Women Inclusion
Annual Reports
Feb. 24, 2015 Results of Inspector General’s Fiscal Year 2014 Purchase Card Program Risk Assessment, February 24, 2015 (PDF)
Inspector General
Feb. 12, 2015 Summary of Performance and Financial Information, Fiscal Year 2014 (PDF) Annual Reports
Feb. 6, 2015 Select SEC and Market Data 2014 (PDF) Select SEC and Market Data
Feb. 5, 2015 Federal Information Security Management Act: Fiscal Year 2014 Evaluation, Report No. 529 (PDF)
Inspector General
Feb. 2, 2015 FY 2016 Congressional Justification & FY 2014 Annual Performance Report and FY 2016 Annual Performance Plan Budget Reports
Jan. 21, 2015 Inspector General's Review of the SEC’s FY 2014 Compliance with the Improper Payments Information Act January 21, 2015 (PDF)
Inspector General
Jan. 15, 2015 SEC FY2013 Appendix C SCI Summary (PDF) Service Contract Inventory
Jan. 15, 2015 SEC FY2013 Appendix B SCI Detail (PDF) Service Contract Inventory
Jan. 15, 2015 FY 2013 Service Contract Inventory Analysis (PDF) Service Contract Inventory
Jan. 15, 2015 Planned Analysis of FY 2013 Inventory (PDF) Service Contract Inventory
Jan. 13, 2015 Inspector General’s FY 2014 Letter to OMB on SEC’s Implementation of Purchase Card Program Audit Recommendations (PDF)
Inspector General
Jan. 5, 2015 2014 Results for Regions (PDF) Federal Employee Viewpoint Survey
Jan. 5, 2015 2014 Results for Headquarters (PDF) Federal Employee Viewpoint Survey
Dec. 23, 2014 2014 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (PDF)
Credit Ratings
Special Studies
Dec. 23, 2014 Annual Report to Congress - June 26, 2013 – June 25, 2014 (PDF)
Credit Ratings
Annual Reports
Dec. 23, 2014 Office of the Investor Advocate FY 2014 Report on Activities (PDF)
Investor Advocate
Dec. 22, 2014 2014 Report and Certification (PDF)
Corporation Finance
Compliance Inspections and Examinations
Credit Ratings
Enforcement
Internal Supervisory Controls
Dec. 10, 2014 Audit of the Office of the Ethics Counsel’s Oversight of Employee Securities Holdings (PDF)
Inspector General
Dec. 2, 2014 Semiannual Management Report (November 2014) (PDF)
Nov. 25, 2014 Semiannual Report to Congress: April 1, 2014 through September 30, 2014 (PDF)
Inspector General
Nov. 20, 2014 Audit of the Representation of Minorities and Women in the SEC’s Workforce (PDF)
Inspector General
Nov. 17, 2014 Fiscal Year 2014 Agency Financial Report Annual Reports
Nov. 11, 2014 SEC FY2014 Appendix B and C SCI Details (XLSX) Service Contract Inventory
Nov. 11, 2014 FY 2014 Service Contract Inventory Analysis (PDF) Service Contract Inventory
Nov. 6, 2014 SEC FY2014 Supplement SCI (XLSX) Service Contract Inventory
Nov. 4, 2014 Planned Analysis of FY 2014 Inventory (PDF) Service Contract Inventory
Nov. 3, 2014 SEC FY 2013 Conference Spending (PDF) Conference Spending
Oct. 29, 2014 Report on Administrative Proceedings for the Period April 1, 2014 through September 30, 2014 (PDF) Special Studies
Sept. 30, 2014 Analysis of the SEC’s Compliance with Conference Approval and Reporting Requirements for Fiscal Year 2014 (PDF)
Inspector General
Sept. 22, 2014 Controls Over the SEC’s Inventory of Laptop Computers (PDF)
Inspector General
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. 1, 2014 Audit of the SEC’s Physical Security Program, Report No. 523 (PDF)
Inspector General
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
  
   Currently only the first 100 results are displayed. To view more results please select a filter.

Date

Date: June 30, 2016

Title: Office of the Investor Advocate Report on Objectives for FY 2017 (PDF)

Category: Annual Reports

Date: May 25, 2016

Title: Semiannual Management Report (May 2016) (PDF)

Category:

Date: April 22, 2016

Title: SEC FY2015 Appendix B and C SCI Details (XLSX)

Category: Service Contract Inventory

Date: April 22, 2016

Title: 2014-2018 Strategic Plan (PDF)

Category: Strategic Plan

Date: March 31, 2016

Title: SEC OMWI FY 2015 Annual Report to Congress (PDF)

Category: Annual Reports

Date: Feb. 11, 2016

Title: Summary of Performance and Financial Information, Fiscal Year 2015 (PDF)

Category: Annual Reports

Date: Feb. 5, 2016

Title: Select SEC and Market Data 2015 (PDF)

Category: Select SEC and Market Data

Date: Jan. 12, 2016

Title: SEC FY2015 Supplement SCI (XLSX)

Category: Service Contract Inventory

Date: Jan. 12, 2016

Title: Planned Analysis of FY 2015 Inventory (PDF)

Category: Service Contract Inventory

Date: Jan. 6, 2016

Title: SEC FY 2015 Conference Spending (PDF)

Category: Conference Spending

Date: Dec. 23, 2015

Title: 2015 Report and Certification (PDF)

Category: Internal Supervisory Controls

Date: Dec. 23, 2015

Title: Office of the Investor Advocate FY 2015 Report on Activities (PDF)

Category: Annual Reports

Date: Dec. 18, 2015

Title: Report on the Review of the Definition of “Accredited Investor” (PDF)

Category: Special Studies

Date: Dec. 7, 2015

Title: Semiannual Management Report (November 2015) (PDF)

Category:

Date: Dec. 7, 2015

Title: How the SEC Handles Your Complaint (PDF)

Category: Investor Publications

Date: Dec. 1, 2015

Title: Office of Inspector General

Category:

Date: Nov. 16, 2015

Title: Fiscal Year 2015 Agency Financial Report

Category: Annual Reports

Date: Nov. 16, 2015

Title: 2015 Annual Report on the Dodd-Frank Whistleblower Program (PDF)

Category: Annual Reports

Date: Nov. 3, 2015

Title: SEC FY 2014 Conference Spending (PDF)

Category: Conference Spending

Date: July 13, 2015

Title: Joint Staff Report: The U.S. Treasury Market on October 15, 2014 (PDF)

Category: Special Studies

Date: June 30, 2015

Title: Office of the Investor Advocate Report on Objectives for FY 2016 (PDF)

Category: Annual Reports

Date: May 27, 2015

Title: Semiannual Management Report (May 2015) (PDF)

Category:

Date: April 6, 2015

Title: SEC OMWI FY 2014 Annual Report to Congress (PDF)

Category: Annual Reports

Date: Feb. 12, 2015

Title: Summary of Performance and Financial Information, Fiscal Year 2014 (PDF)

Category: Annual Reports

Date: Feb. 6, 2015

Title: Select SEC and Market Data 2014 (PDF)

Category: Select SEC and Market Data

Date: Jan. 15, 2015

Title: SEC FY2013 Appendix C SCI Summary (PDF)

Category: Service Contract Inventory

Date: Jan. 15, 2015

Title: SEC FY2013 Appendix B SCI Detail (PDF)

Category: Service Contract Inventory

Date: Jan. 15, 2015

Title: FY 2013 Service Contract Inventory Analysis (PDF)

Category: Service Contract Inventory

Date: Jan. 15, 2015

Title: Planned Analysis of FY 2013 Inventory (PDF)

Category: Service Contract Inventory

Date: Jan. 5, 2015

Title: 2014 Results for Regions (PDF)

Category: Federal Employee Viewpoint Survey

Date: Jan. 5, 2015

Title: 2014 Results for Headquarters (PDF)

Category: Federal Employee Viewpoint Survey

Date: Dec. 23, 2014

Title: Annual Report to Congress - June 26, 2013 – June 25, 2014 (PDF)

Category: Annual Reports

Date: Dec. 22, 2014

Title: 2014 Report and Certification (PDF)

Category: Internal Supervisory Controls

Date: Dec. 2, 2014

Title: Semiannual Management Report (November 2014) (PDF)

Category:

Date: Nov. 17, 2014

Title: Fiscal Year 2014 Agency Financial Report

Category: Annual Reports

Date: Nov. 11, 2014

Title: SEC FY2014 Appendix B and C SCI Details (XLSX)

Category: Service Contract Inventory

Date: Nov. 11, 2014

Title: FY 2014 Service Contract Inventory Analysis (PDF)

Category: Service Contract Inventory

Date: Nov. 6, 2014

Title: SEC FY2014 Supplement SCI (XLSX)

Category: Service Contract Inventory

Date: Nov. 4, 2014

Title: Planned Analysis of FY 2014 Inventory (PDF)

Category: Service Contract Inventory

Date: Nov. 3, 2014

Title: SEC FY 2013 Conference Spending (PDF)

Category: Conference Spending

Date: Aug. 18, 2014

Title: 2014 Inventory (PDF)

Category: FAIR Act

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

   Currently only the first 100 results are displayed. To view more results please select a filter.
 
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