SEC 1999 Annual Report
The 1999 Annual Report of the U.S. Securities and Exchange Commission is currently available in PDF (Adobe Acrobat) format. An HTML version will follow.
The PDF version does not include pages that were intentionally left blank in the print version. It also omits a few items from the Appendices.
This is a single large PDF file.
Report by Sections
Front Matter (letter of transmittal; Commission members and principal officers; biographies; office addresses)
Appendix Tables 1 7 and 9 (Enforcement Cases Initiated; Enforcement Cases by Program Area; Investigations of Possible Violations of the Acts; Administrative Proceedings; Injunctive Actions; Types of Proceedings; SRO data)
Appendix Tables 10 15 and 18 25 (Certificate of Immobilization; Exemptions; Corporate Reorganizations; The Securities Industry; Broker-Dealer data; Carrying and Clearing Firms; Securities Traded on Exchanges; Appropriated Funds vs Fees Collected; Budget Estimates and Appropriations)