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
Nov. 4, 2011 Report on Administrative Proceedings for the Period April 1, 2011 through September 30, 2011 (pdf)
Special Studies
Sept. 30, 2011 2011 Summary Report of Commission Staff's Examinations of Each Nationally Recognized Statistical Rating Organization (pdf)
Special Studies
Sept. 9, 2011 Report on the Implementation of SEC Organizational Reform Recommendations (pdf)
Special Studies
July 27, 2011 Staff Summary Report on Issues Identified in Examinations of Certain Structured Securities Products Sold to Retail Investors (pdf)
Special Studies
July 21, 2011 Report on Review of Reliance on Credit Ratings (pdf)
Special Studies
April 22, 2011 Study and Recommendations on Section 404(b) of the Sarbanes-Oxley Act of 2002 For Issuers with Public Float Between $75 and $250 Million (pdf)
Special Studies
April 20, 2011 Report on Administrative Proceedings for the Period October 1, 2010 through March 31, 2011 (pdf)
Special Studies
April 7, 2011 Joint Study on the Feasibility of Mandating Algorithmic Descriptions for Derivatives (pdf)
Special Studies
March 10, 2011 U.S. Securities and Exchange Commission Organizational Study and Reform (pdf)
Special Studies
Jan. 26, 2011 Study and Recommendations on Improved Investor Access to Registration Information About Investment Advisers and Broker-Dealers (pdf)
Special Studies
Jan. 21, 2011 Study on Investment Advisers and Broker-Dealers
Special Studies
Jan. 19, 2011 Staff Study on Enhancing Investment Adviser Examinations
Special Studies
  
  
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Date

Date: Sept. 9, 2011

Title: Report on the Implementation of SEC Organizational Reform Recommendations

Category: Special Studies

Date: July 21, 2011

Title: Report on Review of Reliance on Credit Ratings

Category: Special Studies

Date: March 10, 2011

Title: U.S. Securities and Exchange Commission Organizational Study and Reform

Category: Special Studies

Date: Jan. 21, 2011

Title: Study on Investment Advisers and Broker-Dealers

Category: Special Studies

Date: Jan. 19, 2011

Title: Staff Study on Enhancing Investment Adviser Examinations

Category: Special Studies