News and Events from the Fort Worth Regional Office

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Date Title
JOBS Act Section 504 Report on Authority to Enforce Exchange Act Rule 12g5-1 and Subsection (b)(3)
Guide to Insider Trading: Online Publications at the SE
Report on Credit Rating Standardization
SEC Staff Study Regarding Financial Literacy Among Investors
Investment Advisers: What You Need to Know Before Choosing One
Form for reporting activities of transfer agents
Report on the Municipal Securities Market
JOBS Act Section 106 Report to Congress on Decimalization
2012 Inventory
Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Partnership Non-Resident Broker or Dealer
Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Individual Non-Resident Broker or Dealer
Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Non-Resident General Partner of Broker or Dealer
Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Corporate Non-Resident Broker or Dealer
Supplemental Information for Persons Requested to Supply Information Voluntarily to the Commission's Examination Staff
Report on Administrative Proceedings for the Period October 1, 2011 through March 31, 2012
Study on the Cross-Border Scope of the Private Right of Action Under Section 10(b) of the Securities Exchange Act of 1934
Office of Minority and Women Inclusion Annual Report
Report on the Implementation of SEC Organizational Reform Recommendations
FOCUS Report, Part IIC
Congressional Justification FY 2013 in Brief
Joint Report on International Swap Regulation
Researchers and Librarians—Easy Access to Selected Securities and Investor Information at the SEC
Select SEC and Market Data 2011
2012 Agency Financial Report
Information required of institutional investment managers pursuant to Section 13(f)
Notification of election pursuant to Rule 18f-1 under the Investment Company Act of 1940
2011 Report and Certification
Report on Administrative Proceedings for the Period April 1, 2011 through September 30, 2011
Form for Submission of Paper Format Exhibits by EDGAR Electronic Filers
Information Required of Large Traders Pursuant To Section 13(h) of the Securities Exchange Act of 1934
Initial statement of beneficial ownership of securities -— general instructions
Submission of Paper Format Exhibits by Electronic Filers
Mutual-to-Stock” Conversions: Tips for Investor
2011 Summary Report of Commission Staff's Examinations of Each Nationally Recognized Statistical Rating Organization
Report on the Implementation of SEC Organizational Reform Recommendations
Appointment of agent for service of process by non-resident general partner and non-resident managing agent of an investment adviser
Application for a temporary or continuing hardship exemption
Uniform Application for Investment Adviser Registration and Report by Exempt Reporting Advisers
Tip, Complaint, or Referral
Application for Award for Original Information Submitted Pursuant to Section 21F of the Securities Exchange Act of 1934
Staff Summary Report on Issues Identified in Examinations of Certain Structured Securities Products Sold to Retail Investors
Report on Review of Reliance on Credit Ratings
2011 Inventory
Study and Recommendations on Section 404(b) of the Sarbanes-Oxley Act of 2002 For Issuers with Public Float Between $75 and $250 Million
Report on Administrative Proceedings for the Period October 1, 2010 through March 31, 2011
Joint Study on the Feasibility of Mandating Algorithmic Descriptions for Derivatives
2010 Report
U.S. Securities and Exchange Commission Organizational Study and Reform
About the SEC’s Office of Investor Education and Advocacy
Congressional Justification FY 2012 in Brief
Internet Fraud: How to Avoid Internet Investment Scams
Study and Recommendations on Improved Investor Access to Registration Information About Investment Advisers and Broker-Dealers
Study on Investment Advisers and Broker-Dealers
Staff Study on Enhancing Investment Adviser Examinations
Select SEC and Market Data 2010
2011 Annual Report
E-Government Act Implementation Updates: FY 2010 Update
Notice of withdrawal from registration as investment adviser
Report on Administrative Proceedings for Period April 1, 2010 through September 30, 2010
Annual Report on Whistleblower Program
2010-2015 Strategic Plan
Certified shareholder report of registered management investment companies
Findings Regarding the Market Events of May 6, 2010
The SEC Mutual Fund Cost Calculator: A Tool for Comparing Mutual Funds
Life Settlements Task Force: Staff Report to the United States Securities and Exchange Commission
2010 Inventory
Report on Administrative Proceedings for Period October 1, 2009 through March 31, 2010
2009 Report
Registration statement of unit investment trusts which are currently issuing securities
Registration statement of small business investment company
Congressional Justification FY 2011 in Brief
2010 Annual Report
Risk Assessment for Brokers & Dealers
Five Questions to Ask Before You Invest
CIK Lookup
Taking Stock: Getting Your Fiscal Act Together
Beginners Guide to Investing
Fake Seals and Phony Numbers: How Fraudsters Try to Look Legit
Cold Calling: Unsolicited Calls from Brokers
Select SEC and Market Data 2009
E-Government Act Implementation Updates: FY 2009 Update
Guide to Identifying and Avoiding Securities Fraud
Registration statement of separate accounts organized as unit investment trusts
Report on Administrative Proceedings for Period April 1, 2009 through September 30, 2009
Compliance Guide to the Registration and Regulation of Brokers and Dealers
Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme
Executive Summary: Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme
Beginners' Guide to Asset Allocation, Diversification, and Rebalancing
Mutual Fund Prospectuses Search
Search for Mutual Fund Proxy Voting Records
Confidential Treatment Orders Search
2009 Inventory
How To Avoid Fraud
All About Auto-Trading
Quarterly report of alternative trading systems activities
Warning to All Investors About Bogus "Prime Bank" and Other Banking-Related Investment Schemes
Ultra-Short Bond Funds: Know Where You're Parking Your Money
Congressional Justification FY 2010 in Brief
Report on Administrative Proceedings for Period October 1, 2008 through March 31, 2009
Beginners’ Guide to Mutual Funds
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