News and Events from the Fort Worth Regional Office

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Date Title
Summary of Performance and Financial Information, Fiscal Year 2014
Select SEC and Market Data 2014
FY 2016 Congressional Justification & FY 2014 Annual Performance Report and FY 2016 Annual Performance Plan
SEC FY2013 Appendix C SCI Summary
SEC FY2013 Appendix B SCI Detail
FY 2013 Service Contract Inventory Analysis
Planned Analysis of FY 2013 Inventory
Application for Registration as a Nationally Recognized Statistical Rating Organization (NRSRO)
2014 Results for Regions
2014 Results for Headquarters
2014 Report and Certification
Semiannual Management Report (November 2014)
Fiscal Year 2014 Agency Financial Report
SEC FY2014 Appendix B and C SCI Details
FY 2014 Service Contract Inventory Analysis
SEC FY2014 Supplement SCI
Planned Analysis of FY 2014 Inventory
SEC FY 2013 Conference Spending
Registration Statement Under the Securities Act of 1933
Report on Administrative Proceedings for the Period April 1, 2014 through September 30, 2014
2014 Inventory
Annual Staff Report Relating to the Use of Data Collected from Private Fund Systemic Risk Reports
Reporting Form for Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors
Report on Objectives - Office of the Investor Advocate
Semiannual Management Report (May 2014)
Whom to Contact about Your Question or Concern
Report on Administrative Proceedings For the Period October 1, 2013 through March 31, 2014
Instructions for the Form MA Series
Notice of Withdrawal from Registration as a Municipal Advisor
Designation of U.S. Agent for Service of Process for Non-Residents
Information Regarding Natural Persons who Engage in Municipal Advisory Activities
Application for Municipal Advisor Registration; Annual Update of Municipal Advisor Registration; and Amendment of a Prior Application for Registration
Application or amendment to application for registration as securities infomation processor
FY 2015 Congressional Justification and Performance Plan & FY 2013 Annual Performance Report
Q&A: Small Business and the SEC
Identity Theft: Learn How To Protect Yourself
Understanding Investment Professional Designations (tips from FINRA)
Select SEC and Market Data 2013
Search for Daily Filings by Type (Current Events)
Certification of a foreign private issuer’s termination of registration of a class of securities under Section 12(g) or its termination of the duty to file reports under Section 13(a) or Section 15(d)
Specialized Disclosure Report
Notice on Supplying Information Voluntarily
2013 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization
JOBS Act Section 108 Report to Congress on Review of Disclosure Requirements in Regulation S-K
2013 Report and Certification
2013 Agency Financial Report
Uniform application for access codes to file on EDGAR
Form and amendments for notice of registration as a national securities exchange for the sole purpose of trading security futures products
Notice of withdrawal from registration as a municipal securities dealer
Registration statement for securities of certain Canadian issuers
Application for registration as a municipal securities dealer or amendment to such application
Semiannual Management Report (November 2013)
Report to Congress on Credit Rating Agency Independence Study
Report on Administrative Proceedings for the Period April 1, 2013 through September 30, 2013
Affinity Fraud: How to Avoid Investment Scams That Target Group
HSPD-12 Implementation Status Report (Personal Identification Verification (PIV) Credentials)
Federal Securities Laws
Divisions and Offices
Microcap Stock: A Guide for Investors
SEC Commissioners
"Phishing" Fraud: How to Avoid Getting Fried by Phony Phishermen
Initial operation report, amendment to initial operation report and quarterly report for pilot trading systems operated by self-regulatory organizations
Registration under 1933 act of securities of unit investment trusts registered on form N-8B-2
Form for Reporting Covered Sales and Covered Round Turn Transactions Under Section 31 of the Securities Exchange Act of 1934
2013 Inventory
Supplemental Information for Persons Requested to Supply Information Voluntarily or Directed to Supply Information Pursuant to a Commission Subpoena
Application for deregistration of certain registered investment companies
Supplemental Information for Regulated Entities Directed to Supply Information Other Than Pursuant to a Commission Subpoena
Annual Staff Report Relating to the Use of Data Collected from Private Fund Systemic Risk Reports
Form for the registration of securities issued in business combination transactions by investment companies and business development companies
Registration statement under the Securities Act of 1933 for securities of certain Canadian issuers to be issued in exchange offers or a business combination
(Financial and Operational Combined Uniform Single) FOCUS Report: Information Required of All Brokers and Dealers Pursuant to Rule 17a-5
FOCUS Report Part III
Fourth Report on the Implementation of SEC Organizational Reform Recommendations
Report on Administrative Proceedings for the Period October 1, 2012 through March 31, 2013
Office of Minority and Women Inclusion Annual Report
A Guide for Seniors: Protect Yourself Against Investment Fraud
FY 2014 Congressional Justification and Performance Plan & FY 2012 Annual Performance Report
Summary of Performance and Financial Information, Fiscal Year 2012 (PDF)
Select SEC and Market Data 2012
SEC FY 2012 Conference Spending
Trade Execution: What Every Investor Should Know
Rule 144: Selling Restricted and Control Securities
Proposed rule change by self-regulatory organization
Money Market Fund Information
Certificate of accounting of client securities and funds in the possession or custody of an investment adviser
SEC FY2012 Appendix C SCI Summary
2012 Report and Certification
SEC FY2012 Appendix B SCI Detail
Assigned Credit Ratings
FY 2012 Service Contract Inventory Analysis
SEC FY2011 Appendix C SCI Summary
SEC FY2011 Appendix B SCI Detail
FY 2011 Service Contract Inventory Analysis
Planned Analysis of FY 2011 Inventory
Planned Analysis of FY 2012 Inventory
Researching the Federal Securities Laws Through the SEC Website
2012 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization
Report on Administrative Proceedings for the Period April 1, 2012 through September 30, 2012
Third Report on the Implementation of SEC Organizational Reform Recommendations
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