This listing includes periodic SEC reports and publications. See also FOIA Frequently Requested Documents and SEC Data Resources for periodic data reports and updates. For occasional reports on current trends and issues facing the securities industry, choose “Special Studies” from the “Category” field below.

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Reports and Publications Table

Date
Title
Category
Date: Title: Report on Administrative Proceedings For the Period October 1, 2023, through March 31, 2024 (PDF)
Secretary 		Category: Special Studies
Date: Title: 2023 Annual Staff Report Relating to the Use of Form PF Data (PDF)
Category: Special Studies
Date: Title: 2023 Report on the Review of the Definition of “Accredited Investor” (PDF)
Corporation Finance 		Category: Special Studies
Date: Title: Report on Administrative Proceedings for the Period April 1, 2023 through September 30, 2023 (PDF)
Secretary 		Category: Special Studies
Date: Title: Report on Administrative Proceedings For the Period October 1, 2022 through March 31, 2023 (PDF)
Secretary 		Category: Special Studies
Date: Title: 2022 Annual Staff Report Relating to the Use of Form PF Data (PDF)
Category: Special Studies
Date: Title: Report on Administrative Proceedings for the Period April 1, 2022 through September 30, 2022 (PDF)
Secretary 		Category: Special Studies
Date: Title: Report on Administrative Proceedings for the Period October 1, 2021 through March 31, 2022 (PDF)
Secretary 		Category: Special Studies
Date: Title: Study on Threshold Limits Applicable to Diversified Companies (PDF)
Category: Special Studies
Date: Title: Annual Staff Report Relating to the Use of Form PF Data (PDF)
Category: Special Studies
Date: Title: Recent Disruptions and Potential Reforms in the U.S. Treasury Market: A Staff Progress Report (PDF)
Category: Special Studies
Date: Title: Report on Administrative Proceedings for the Period April 1, 2021 through September 30, 2021 (PDF)
Secretary 		Category: Special Studies
Date: Title: Report on Administrative Proceedings for the Period October 1, 2020 through March 31, 2021 (PDF)
Secretary 		Category: Special Studies
Date: Title: Annual Staff Report Relating to the Use of Form PF Data (PDF)
Category: Special Studies
Date: Title: Report on Administrative Proceedings for the Period April 1, 2020 through September 30, 2020 (PDF)
Secretary 		Category: Special Studies
Date: Title: Staff Report on Algorithmic Trading in U.S. Capital Markets (PDF)
Trading and Markets 		Category: Special Studies
Date: Title: Report on Administrative Proceedings For the Period October 1, 2019 through March 31, 2020 (PDF)
Secretary 		Category: Special Studies
Date: Title: Annual Staff Report Relating to the Use of Form PF Data (PDF)
Category: Special Studies
Date: Title: Report on Administrative Proceedings For the Period April 1, 2019 through September 30, 2019 (PDF)
Secretary 		Category: Special Studies
Date: Title: Report on Administrative Proceedings For the Period October 1, 2018 through March 31, 2019 (PDF)
Secretary 		Category: Special Studies
Date: Title: 2018 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (PDF)
Credit Ratings 		Category: Special Studies
Date: Title: Annual Staff Report Relating to the Use of Form PF Data (PDF)
Investment Management 		Category: Special Studies
Date: Title: Report on Administrative Proceedings For the Period April 1, 2018 through September 30, 2018 (PDF)
Secretary 		Category: Special Studies
Date: Title: Report on Administrative Proceedings for the Period October 1, 2017, through March 31, 2018 (PDF)
Secretary 		Category: Special Studies
Date: Title: Report on Administrative Proceedings for the Period April 1, 2017 through September 30, 2017 (PDF)
Secretary 		Category: Special Studies
Date: Title: Access to Capital and Market Liquidity (PDF)
Economic and Risk Analysis 		Category: Special Studies
Date: Title: Report on Administrative Proceedings for the Period October 1, 2016 through March 31, 2017 (PDF)
Secretary 		Category: Special Studies
Date: Title: 2016 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (PDF)
Credit Ratings 		Category: Special Studies
Date: Title: Report on Administrative Proceedings for the Period April 1, 2016 through September 30, 2016 (PDF)
Category: Special Studies
Date: Title: Report on Administrative Proceedings For the Period October 1, 2015 through March 31, 2016 (PDF)
Category: Special Studies
Date: Title: 2015 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (PDF)
Credit Ratings 		Category: Special Studies
Date: Title: Report on the Review of the Definition of “Accredited Investor” (PDF)
Corporation Finance 		Category: Special Studies
Date: Title: Report on Administrative Proceedings for the Period April 1, 2015 through September 30, 2015 (PDF)
Category: Special Studies
Date: Title: Joint Staff Report: The U.S. Treasury Market on October 15, 2014 (PDF)
Category: Special Studies
Date: Title: Report on Administrative Proceedings For the Period October 1, 2014 through March 31, 2015 (PDF)
Category: Special Studies
Date: Title: 2014 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (PDF)
Credit Ratings 		Category: Special Studies
Date: Title: Report on Administrative Proceedings for the Period April 1, 2014 through September 30, 2014 (PDF)
Category: Special Studies
Date: Title: Annual Staff Report Relating to the Use of Data Collected from Private Fund Systemic Risk Reports (PDF)
Category: Special Studies
Date: Title: Short Sale Position and Transaction Reporting (PDF)
Economic and Risk Analysis 		Category: Special Studies
Date: Title: Report on Administrative Proceedings For the Period October 1, 2013 through March 31, 2014 (PDF)
Category: Special Studies
Date: Title: 2013 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (PDF)
Category: Special Studies
Date: Title: JOBS Act Section 108 Report to Congress on Review of Disclosure Requirements in Regulation S-K (PDF)
Category: Special Studies
Date: Title: Report to Congress on Credit Rating Agency Independence Study (PDF)
Category: Special Studies
Date: Title: Report on Administrative Proceedings for the Period April 1, 2013 through September 30, 2013 (PDF)
Category: Special Studies
Date: Title: Annual Staff Report Relating to the Use of Data Collected from Private Fund Systemic Risk Reports (PDF)
Category: Special Studies
Date: Title: Fourth Report on the Implementation of SEC Organizational Reform Recommendations (PDF)
Category: Special Studies
Date: Title: Report on Administrative Proceedings for the Period October 1, 2012 through March 31, 2013 (PDF)
Category: Special Studies
Date: Title: Assigned Credit Ratings (PDF)
Category: Special Studies
Date: Title: 2012 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (PDF)
Category: Special Studies
Date: Title: Report on Administrative Proceedings for the Period April 1, 2012 through September 30, 2012 (PDF)
Category: Special Studies
Date: Title: Third Report on the Implementation of SEC Organizational Reform Recommendations (PDF)
Category: Special Studies
Date: Title: JOBS Act Section 504 Report on Authority to Enforce Exchange Act Rule 12g5-1 and Subsection (b)(3) (PDF)
Category: Special Studies
Date: Title: Report on Credit Rating Standardization (PDF)
Category: Special Studies
Date: Title: SEC Staff Study Regarding Financial Literacy Among Investors
 Category: Special Studies
Date: Title: Report on the Municipal Securities Market (PDF)
Category: Special Studies
Date: Title: JOBS Act Section 106 Report to Congress on Decimalization (PDF)
Category: Special Studies
Date: Title: Report on Administrative Proceedings for the Period October 1, 2011 through March 31, 2012 (PDF)
Category: Special Studies
Date: Title: Study on the Cross-Border Scope of the Private Right of Action Under Section 10(b) of the Securities Exchange Act of 1934
 Category: Special Studies
Date: Title: Report on the Implementation of SEC Organizational Reform Recommendations (PDF)
Category: Special Studies
Date: Title: Joint Report on International Swap Regulation (PDF)
Category: Special Studies
Date: Title: Report on Administrative Proceedings for the Period April 1, 2011 through September 30, 2011 (PDF)
Category: Special Studies
Date: Title: 2011 Summary Report of Commission Staff's Examinations of Each Nationally Recognized Statistical Rating Organization (PDF)
Category: Special Studies
Date: Title: Report on the Implementation of SEC Organizational Reform Recommendations (PDF)
Category: Special Studies
Date: Title: Staff Summary Report on Issues Identified in Examinations of Certain Structured Securities Products Sold to Retail Investors (PDF)
Category: Special Studies
Date: Title: Report on Review of Reliance on Credit Ratings (PDF)
Category: Special Studies
Date: Title: 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)
Category: Special Studies
Date: Title: Report on Administrative Proceedings for the Period October 1, 2010 through March 31, 2011 (PDF)
Category: Special Studies
Date: Title: Joint Study on the Feasibility of Mandating Algorithmic Descriptions for Derivatives (PDF)
Category: Special Studies
Date: Title: U.S. Securities and Exchange Commission Organizational Study and Reform (PDF)
Category: Special Studies
Date: Title: Study and Recommendations on Improved Investor Access to Registration Information About Investment Advisers and Broker-Dealers (PDF)
Category: Special Studies
Date: Title: Study on Investment Advisers and Broker-Dealers
 Category: Special Studies
Date: Title: Staff Study on Enhancing Investment Adviser Examinations
 Category: Special Studies
Date: Title: Annual Report on Whistleblower Program (PDF)
Category: Special Studies
Date: Title: Report on Administrative Proceedings for Period April 1, 2010 through September 30, 2010 (PDF)
Category: Special Studies
Date: Title: Findings Regarding the Market Events of May 6, 2010 (PDF)
Category: Special Studies
Date: Title: Life Settlements Task Force: Staff Report to the United States Securities and Exchange Commission (PDF)
Category: Special Studies
Date: Title: Report on Administrative Proceedings for Period October 1, 2009 through March 31, 2010 (PDF)
Category: Special Studies
Date: Title: Report on Administrative Proceedings for Period April 1, 2009 through September 30, 2009 (PDF)
Category: Special Studies
Date: Title: Executive Summary: Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme (PDF)
Category: Special Studies
Date: Title: Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme
 Category: Special Studies
Date: Title: Report on Administrative Proceedings for Period October 1, 2008 through March 31, 2009 (PDF)
Category: Special Studies
Date: Title: SEC's Congressionally Mandated Study on Mark-to-Market Accounting (PDF)
Category: Special Studies
Date: Title: Report on Administrative Proceedings for Period April 1, 2008 through September 30, 2008 (PDF)
Category: Special Studies
Date: Title: Summary Report of Issues Identified in the Commission Staff's Examinations of Select Credit Rating Agencies (PDF)
Category: Special Studies
Date: Title: Report on Administrative Proceedings For Period October 1, 2007 through March 31, 2008 (PDF)
Category: Special Studies
Date: Title: Report on Administrative Proceedings for Period April 1, 2007 through September 30, 2007 (PDF)
Category: Special Studies
Date: Title: Report on Administrative Proceedings for Period October 1, 2006 through March 31, 2007 (PDF)
Category: Special Studies
Date: Title: Report on Refunds, Sales Practices, and Revenues from Periodic Payment Plans (PDF)
Category: Special Studies
Date: Title: Report Concerning Examinations of Options Order Routing and Execution (PDF)
Category: Special Studies
Date: Title: Report on Administrative Proceedings for Period April 1, 2005 through September 30, 2005 (PDF)
Category: Special Studies
Date: Title: Report on Administrative Proceedings for Period April 1, 2006 through September 30, 2006 (PDF)
Category: Special Studies
Date: Title: Report on Administrative Proceedings for Period October 1, 2005 through March 31, 2006 (PDF)
Category: Special Studies
Date: Title: Implications of the Growth of Hedge Funds (PDF)
Investment Management 		Category: Special Studies
Date: Title: Report on Mutual Fund Fees and Expenses
Investment Management 		Category: Special Studies
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