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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. 29, 2010 Annual Report on Whistleblower Program (PDF) Special Studies
Oct. 29, 2010 Report on Administrative Proceedings for Period April 1, 2010 through September 30, 2010 (PDF) Special Studies
Sept. 30, 2010 Findings Regarding the Market Events of May 6, 2010 (PDF) Special Studies
July 22, 2010 Life Settlements Task Force: Staff Report to the United States Securities and Exchange Commission (PDF) Special Studies
April 27, 2010 Report on Administrative Proceedings for Period October 1, 2009 through March 31, 2010 (PDF) Special Studies
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