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 Adviers 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
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
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Date

Date: March 14, 2014

Title: 2013: Division of Investment Management Year in Review

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

Category:

Date: Jan. 12, 2014

Title: Beginners' Guide to Financial Statements

Category: Investor Publications