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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Date
Title
Category
Date: Title: U.S. Credit Markets Interconnectedness and the Effects of the COVID-19 Economic Shock
Economic and Risk Analysis
Category:
Date: Title: Staff Report on the Regulation of Clearing Agencies(PDF)
Trading and Markets
Category:
Date: Title: Report to Congress on Regulation A / Regulation D Performance(PDF)
Economic and Risk Analysis
Category:
Date: Title: Staff Report on Algorithmic Trading in U.S. Capital Markets(PDF)
Trading and Markets
Category: Special Studies
Date: Title: Annual Equal Employment Opportunity Program Status Report 2018 (PDF) Equal Employment Opportunity(PDF)
Equal Employment Opportunity
Category:
Date: Title: FAIR Inventory 2020(PDF)
Category: FAIR Act
Date: Title: Annual Equal Employment Opportunity Program Status Report 2017 (PDF) Equal Employment Opportunity(PDF)
Equal Employment Opportunity
Category:
Date: Title: Office of the Investor Advocate Report on Objectives for Fiscal Year 2021(PDF)
Investor Advocate
Category: Annual Reports
Date: Title: Semiannual Management Report (May 2020)(PDF)
Category:
Date: Title: SEC OMWI FY 2019 Annual Report to Congress(PDF)
Minority and Women Inclusion
Category: Annual Reports
Date: Title: Report on Administrative Proceedings For the Period October 1, 2019 through March 31, 2020(PDF)
Secretary
Category: Special Studies
Date: Title: Annual Reports to Congress
Minority and Women Inclusion
Category:
Date: Title: Regulation A Lookback Study and Offering Limit Review Analysis, 2020(PDF)
Corporation Finance
Category:
Date: Title: Fiscal Year 2021 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2019 Annual Performance Report
Category: Budget Reports
Date: Title: SEC FY 2019 Conference Spending (PDF)
Financial Management
Category: Conference Spending
Date: Title: Federal Employee Viewpoint Survey 2019(XLSX)
Category: Federal Employee Viewpoint Survey
Date: Title: 2019 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization(PDF)
Credit Ratings
Category: Annual Reports
Date: Title: Annual Report to Congress on Nationally Recognized Statistical Rating Organizations - June 26, 2018 - June 25, 2019 (PDF)
Credit Ratings
Category: Annual Reports
Date: Title: Annual Report on Existing SEC Websites and Digital Services Pursuant to Section 3 of the 21st Century Integrated Digital Experience Act(PDF)
Category:
Date: Title: Semiannual Management Report (November 2019)(PDF)
Category:
Date: Title: Annual Staff Report Relating to the Use of Form PF Data(PDF)
Category: Special Studies
Date: Title: Office of the Investor Advocate Report on Activities for FY 2019(PDF)
Investor Advocate
Category: Annual Reports
Date: Title: 2019 OASB Final Report(PDF)
Advocate for Small Business Capital Formation
Category: Annual Reports
Date: Title: 2019 Annual Report to Congress on the Dodd-Frank Whistleblower Program(PDF)
Whistleblower
Category: Annual Reports
Date: Title: Fiscal Year 2019 Agency Financial Report
Category: Annual Reports
Date: Title: Division of Enforcement 2019 Annual Report(PDF)
Enforcement
Category: Annual Reports
Date: Title: Report on Administrative Proceedings For the Period April 1, 2019 through September 30, 2019(PDF)
Secretary
Category: Special Studies
Date: Title: Office of the Investor Advocate Report on Objectives for Fiscal Year 2020(PDF)
Investor Advocate
Category: Annual Reports
Date: Title: FAIR Inventory 2019(PDF)
Category: FAIR Act
Date: Title: FAIR Inventory 2018(PDF)
Category: FAIR Act
Date: Title: Regulation Crowdfunding Report 2019(PDF)
Corporation Finance
Category:
Date: Title: SEC OMWI FY 2018 Annual Report to Congress(PDF)
Minority and Women Inclusion
Category: Annual Reports
Date: Title: Report on Administrative Proceedings For the Period October 1, 2018 through March 31, 2019(PDF)
Secretary
Category: Special Studies
Date: Title: Fiscal Year 2020 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2018 Annual Performance Report
Category: Budget Reports
Date: Title: Federal Employee Viewpoint Survey 2018(XLSX)
Category: Federal Employee Viewpoint Survey
Date: Title: SEC FY 2018 Conference Spending (PDF)
Financial Management
Category: Conference Spending
Date: Title: Office of the Investor Advocate FY 2018 Report on Activities(PDF)
Investor Advocate
Category: Annual Reports
Date: Title: Annual Report to Congress on Nationally Recognized Statistical Rating Organization - June 26, 2017 - June 25, 2018 (PDF)
Credit Ratings
Category: Annual Reports
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: Fiscal Year 2018 Agency Financial Report
Category: Annual Reports
Date: Title: 2018 Annual Report to Congress on the Dodd-Frank Whistleblower Program(PDF)
Whistleblower
Category: Annual Reports
Date: Title: Division of Enforcement 2018 Annual Report(PDF)
Enforcement
Category: Annual Reports
Date: Title: Report on Administrative Proceedings For the Period April 1, 2018 through September 30, 2018 (PDF)
Secretary
Category: Special Studies
Date: Title: 2018-2022 Strategic Plan(PDF)
Category: Strategic Plan
Date: Title: Select SEC and Market Data 2017(PDF)
Category: Select SEC and Market Data
Date: Title: Office of the Investor Advocate Report on Objectives for Fiscal Year 2019(PDF)
Investor Advocate
Category: Annual Reports
Date: Title: Addendum to Division of Enforcement 2017 Annual Report (Select SEC and Market Data Fiscal 2017 – Enforcement Information Only)(PDF)
Enforcement
Category: Select SEC and Market Data
Date: Title: 2017 Report and Certification of Internal Supervisory Controls(PDF)
Category: Internal Supervisory Controls
Date: Title: Semiannual Management Report (May 2018)(PDF)
Category:
Date: Title: Report on Administrative Proceedings for the Period October 1, 2017, through March 31, 2018(PDF)
Secretary
Category: Special Studies
Date: Title: SEC OMWI FY 2017 Annual Report to Congress(PDF)
Minority and Women Inclusion
Category: Annual Reports
Date: Title: Fiscal Year 2019 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2017 Annual Performance Report
Category: Budget Reports
Date: Title: SEC FY 2017 Conference Spending (PDF)
Financial Management
Category: Conference Spending
Date: Title: Office of the Investor Advocate FY 2017 Report on Activities(PDF)
Investor Advocate
Category: Annual Reports
Date: Title: Semiannual Management Report (November 2017)(PDF)
Category:
Date: Title: 2017 Annual Report to Congress on the Dodd-Frank Whistleblower Program(PDF)
Whistleblower
Category: Annual Reports
Date: Title: Division of Enforcement 2017 Annual Report(PDF)
Enforcement
Category:
Date: Title: Addendum to Division of Enforcement 2017 Annual Report (Select SEC and Market Data Fiscal 2017 – Enforcement Information Only) (addendum posted June 19, 2018)(PDF)
Enforcement
Category:
Date: Title: Fiscal Year 2017 Agency Financial Report
Category: Annual Reports
Date: Title: Federal Employee Viewpoint Survey 2017(XLSX)
Category: Federal Employee Viewpoint Survey
Date: Title: Report on Administrative Proceedings for the Period April 1, 2017 through September 30, 2017(PDF)
Secretary
Category: Special Studies
Date: Title: Annual Staff Report Relating to the Use of Form PF Data(PDF)
Investment Management
Category: Special Studies
Date: Title: Annual Equal Employment Opportunity Program Status Report 2016 (PDF) Equal Employment Opportunity(PDF)
Equal Employment Opportunity
Category:
Date: Title: FY 2015 Service Contract Inventory Analysis(PDF)
Category: Service Contract Inventory
Date: Title: Planned Analysis of FY 2016 Inventory(PDF)
Category: Service Contract Inventory
Date: Title: FAIR Inventory 2017(PDF)
Category: FAIR Act
Date: Title: Access to Capital and Market Liquidity(PDF)
Economic and Risk Analysis
Category: Special Studies
Date: Title: Office of the Investor Advocate Report on Objectives for Fiscal Year 2018(PDF)
Investor Advocate
Category: Annual Reports
Date: Title: 2016 Report and Certification(PDF)
Category: Internal Supervisory Controls
Date: Title: Fiscal Year 2018 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2016 Annual Performance Report
Category: Budget Reports
Date: Title: Semiannual Management Report (May 2017)(PDF)
Category:
Date: Title: Report on Administrative Proceedings for the Period October 1, 2016 through March 31, 2017 (PDF)
Secretary
Category: Special Studies
Date: Title: SEC OMWI FY 2016 Annual Report to Congress(PDF)
Minority and Women Inclusion
Category: Annual Reports
Date: Title: Summary of Performance and Financial Information, Fiscal Year 2016(PDF)
Category: Annual Reports
Date: Title: Select SEC and Market Data 2016(PDF)
Category: Select SEC and Market Data
Date: Title: SEC FY 2016 Conference Spending(PDF)
Category: Conference Spending
Date: Title: Annual Report to Congress on Nationally Recognized Statistical Rating Organizations - June 26, 2015 – June 25, 2016 (PDF)
Credit Ratings
Category: Annual Reports
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: Office of the Investor Advocate FY 2016 Report on Activities(PDF)
Investor Advocate
Category: Annual Reports
Date: Title: Semiannual Management Report (November 2016)(PDF)
Category:
Date: Title: Report on Modernization and Simplification of Regulation S-K  (PDF)
Category:
Date: Title: 2016 Annual Report to Congress on the Dodd-Frank Whistleblower Program(PDF)
Whistleblower
Category: Annual Reports
Date: Title: Fiscal Year 2016 Agency Financial Report
Category: Annual Reports
Date: Title: Report on Administrative Proceedings for the Period April 1, 2016 through September 30, 2016(PDF)
Category: Special Studies
Date: Title: Federal Employee Viewpoint Survey 2016(XLSX)
Category: Federal Employee Viewpoint Survey
Date: Title: FAIR Inventory 2016(PDF)
Category: FAIR Act
Date: Title: FAIR Act 2015 Inventory(PDF)
Category: FAIR Act
Date: Title: Commission Releases
Credit Ratings
Category:
Date: Title: Annual Staff Report Relating to the Use of Data Collected from Private Fund Systemic Risk Reports(PDF)
Investment Management
Category: Special Studies
Date: Title: Office of the Investor Advocate Report on Objectives for FY 2017(PDF)
Investor Advocate
Category: Annual Reports
Date: Title: Semiannual Management Report (May 2016)(PDF)
Category:
Date: Title: Report on Administrative Proceedings For the Period October 1, 2015 through March 31, 2016(PDF)
Category: Special Studies
Date: Title: SEC FY2015 Appendix B and C SCI Details(XLSX)
Category: Service Contract Inventory
Date: Title: 2014-2018 Strategic Plan(PDF)
Category: Strategic Plan
Date: Title: Annual Equal Employment Opportunity Program Status Report 2015(PDF)
Equal Employment Opportunity
Category:
Date: Title: SEC OMWI FY 2015 Annual Report to Congress(PDF)
Minority and Women Inclusion
Category: Annual Reports
Date: Title: Summary of Performance and Financial Information, Fiscal Year 2015(PDF)
Category: Annual Reports
Date: Title: FY 2017 Congressional Justification & FY 2015 Annual Performance Report and FY 2017 Annual Performance Plan
Category: Budget Reports
Date: Title: Select SEC and Market Data 2015(PDF)
Category: Select SEC and Market Data