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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
Oct. 31, 2007 Report on Administrative Proceedings for Period April 1, 2007 through September 30, 2007 (pdf)
Special Studies
April 27, 2007 Report on Administrative Proceedings for Period October 1, 2006 through March 31, 2007 (pdf)
Special Studies
March 29, 2007 Report on Refunds, Sales Practices, and Revenues from Periodic Payment Plans (pdf)
Special Studies
March 8, 2007 Report Concerning Examinations of Options Order Routing and Execution (pdf)
Special Studies
Jan. 25, 2007 Report on Administrative Proceedings for Period April 1, 2005 through September 30, 2005 (pdf)
Special Studies
Jan. 25, 2007 Report on Administrative Proceedings for Period October 1, 2005 through March 31, 2006 (pdf)
Special Studies
Jan. 25, 2007 Report on Administrative Proceedings for Period April 1, 2006 through September 30, 2006 (pdf)
Special Studies
  
  
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