Reports and Publications

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: July 9, 2021	Title: OASB Strategic Plan 2021-2025(PDF) Advocate for Small Business Capital Formation	Category: Strategic Plan
Date: July 1, 2021	Title: FY 2018 Service Contract Inventory with Planned Analysis of FY 2019 Inventory(PDF) Acquisitions	Category: Service Contract Inventory
Date: July 1, 2021	Title: FY 2018 Service Contract Inventory Analysis(PDF) Acquisitions	Category: Service Contract Inventory
Date: June 28, 2021	Title: Office of the Investor Advocate Report on Objectives for Fiscal Year 2022(PDF) Investor Advocate	Category: Annual Reports
Date: June 16, 2021	Title: FAIR Inventory 2021(PDF)	Category:
Date: June 8, 2021	Title: Semiannual Management Report (May 2021)(PDF)	Category:
Date: May 28, 2021	Title: Fiscal Year 2022 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2020 Annual Performance Report	Category: Budget Reports
Date: May 13, 2021	Title: FY20 Annual No FEAR Act Report to Congress(PDF) Equal Employment Opportunity	Category: Annual Reports
Date: May 3, 2021	Title: SEC OMWI FY 2020 Annual Report to Congress(PDF) Minority and Women Inclusion	Category:
Date: April 30, 2021	Title: Report on Administrative Proceedings for the Period October 1, 2020 through March 31, 2021(PDF) Secretary	Category: Special Studies
Date: Feb. 9, 2021	Title: Annual Equal Employment Opportunity Program Status Report 2019 (PDF) Equal Employment Opportunity(PDF) Equal Employment Opportunity	Category: Annual Reports
Date: Feb. 9, 2021	Title: FY 2019 SEC Affirmative Action Plan for Persons with Disabilities(PDF) Equal Employment Opportunity	Category:
Date: Dec. 29, 2020	Title: Office of the Investor Advocate Report on Activities for FY 2020(PDF) Investor Advocate	Category: Annual Reports
Date: Dec. 22, 2020	Title: Annual Report on SEC Website Modernization Pursuant to Section 3(d) of the 21st Century Integrated Digital Experience Act.(PDF)	Category:
Date: Dec. 18, 2020	Title: Annual Report to Congress on Nationally Recognized Statistical Rating Organizations - June 26, 2019 - June 25, 2020(PDF) Credit Ratings	Category: Annual Reports
Date: Dec. 18, 2020	Title: 2020 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization(PDF) Credit Ratings	Category: Annual Reports
Date: Dec. 18, 2020	Title: 2020 OASB Annual Report (PDF) Advocate for Small Business Capital Formation	Category: Annual Reports
Date: Dec. 9, 2020	Title: Semiannual Management Report (November 2020)(PDF)	Category:
Date: Nov. 16, 2020	Title: 2020 Agency Financial Report	Category: Annual Reports
Date: Nov. 16, 2020	Title: SEC FY 2020 Conference Spending(PDF) Financial Management	Category: Conference Spending
Date: Nov. 3, 2020	Title: Annual Staff Report Relating to the Use of Form PF Data(PDF)	Category: Special Studies
Date: Nov. 2, 2020	Title: Division of Enforcement 2020 Annual Report(PDF) Enforcement	Category: Annual Reports
Date: Oct. 30, 2020	Title: Report on Administrative Proceedings for the Period April 1, 2020 through September 30, 2020(PDF) Secretary	Category: Special Studies
Date: Oct. 29, 2020	Title: FY 2016 Service Contract Inventory Analysis(PDF)	Category: Service Contract Inventory
Date: Oct. 29, 2020	Title: FY 2016 Service Contract Inventory with Planned Analysis of FY 2017 Inventory(PDF)	Category: Service Contract Inventory
Date: Oct. 29, 2020	Title: FY 2017 Service Contract Inventory Analysis(PDF)	Category: Service Contract Inventory
Date: Oct. 29, 2020	Title: Planned Analysis of FY 2018 Inventory(PDF)	Category: Service Contract Inventory
Date: Oct. 5, 2020	Title: U.S. Credit Markets Interconnectedness and the Effects of the COVID-19 Economic Shock Economic and Risk Analysis	Category:
Date: Oct. 1, 2020	Title: Staff Report on the Regulation of Clearing Agencies(PDF) Trading and Markets	Category:
Date: Aug. 26, 2020	Title: FY 2018 SEC Affirmative Action Plan for Persons with Disabilities(PDF) Equal Employment Opportunity	Category:
Date: Aug. 26, 2020	Title: Report to Congress on Regulation A / Regulation D Performance(PDF) Economic and Risk Analysis	Category:
Date: Aug. 19, 2020	Title: Staff Report on Algorithmic Trading in U.S. Capital Markets(PDF) Trading and Markets	Category: Special Studies
Date: July 30, 2020	Title: Annual Equal Employment Opportunity Program Status Report 2018 (PDF) Equal Employment Opportunity(PDF) Equal Employment Opportunity	Category:
Date: July 23, 2020	Title: FAIR Inventory 2020(PDF)	Category: FAIR Act
Date: July 6, 2020	Title: Annual Equal Employment Opportunity Program Status Report 2017 (PDF) Equal Employment Opportunity(PDF) Equal Employment Opportunity	Category:
Date: June 29, 2020	Title: Office of the Investor Advocate Report on Objectives for Fiscal Year 2021(PDF) Investor Advocate	Category: Annual Reports
Date: June 1, 2020	Title: Semiannual Management Report (May 2020)(PDF)	Category:
Date: May 1, 2020	Title: SEC OMWI FY 2019 Annual Report to Congress(PDF) Minority and Women Inclusion	Category: Annual Reports
Date: April 30, 2020	Title: Report on Administrative Proceedings For the Period October 1, 2019 through March 31, 2020(PDF) Secretary	Category: Special Studies
Date: March 13, 2020	Title: Annual Reports to Congress Minority and Women Inclusion	Category:
Date: March 4, 2020	Title: Regulation A Lookback Study and Offering Limit Review Analysis, 2020(PDF) Corporation Finance	Category:
Date: Feb. 10, 2020	Title: Fiscal Year 2021 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2019 Annual Performance Report	Category: Budget Reports
Date: Jan. 31, 2020	Title: SEC FY 2019 Conference Spending (PDF) Financial Management	Category: Conference Spending
Date: Jan. 28, 2020	Title: Federal Employee Viewpoint Survey 2019(XLSX)	Category: Federal Employee Viewpoint Survey
Date: Jan. 24, 2020	Title: 2019 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization(PDF) Credit Ratings	Category: Annual Reports
Date: Jan. 24, 2020	Title: Annual Report to Congress on Nationally Recognized Statistical Rating Organizations - June 26, 2018 - June 25, 2019 (PDF) Credit Ratings	Category: Annual Reports
Date: Jan. 22, 2020	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: Jan. 7, 2020	Title: Semiannual Management Report (November 2019)(PDF)	Category:
Date: Dec. 30, 2019	Title: Annual Staff Report Relating to the Use of Form PF Data(PDF)	Category: Special Studies
Date: Dec. 19, 2019	Title: Office of the Investor Advocate Report on Activities for FY 2019(PDF) Investor Advocate	Category: Annual Reports
Date: Dec. 19, 2019	Title: 2019 OASB Final Report(PDF) Advocate for Small Business Capital Formation	Category: Annual Reports
Date: Nov. 15, 2019	Title: 2019 Annual Report to Congress on the Dodd-Frank Whistleblower Program(PDF) Whistleblower	Category: Annual Reports
Date: Nov. 15, 2019	Title: Fiscal Year 2019 Agency Financial Report	Category: Annual Reports
Date: Nov. 6, 2019	Title: Division of Enforcement 2019 Annual Report(PDF) Enforcement	Category: Annual Reports
Date: Oct. 31, 2019	Title: Report on Administrative Proceedings For the Period April 1, 2019 through September 30, 2019(PDF) Secretary	Category: Special Studies
Date: June 27, 2019	Title: Office of the Investor Advocate Report on Objectives for Fiscal Year 2020(PDF) Investor Advocate	Category: Annual Reports
Date: June 21, 2019	Title: FAIR Inventory 2019(PDF)	Category: FAIR Act
Date: June 21, 2019	Title: FAIR Inventory 2018(PDF)	Category: FAIR Act
Date: June 17, 2019	Title: Regulation Crowdfunding Report 2019(PDF) Corporation Finance	Category:
Date: June 10, 2019	Title: FY 2017 SEC Affirmative Action Plan for Persons with Disabilities(PDF) Equal Employment Opportunity	Category:
Date: June 6, 2019	Title: SEC OMWI FY 2018 Annual Report to Congress(PDF) Minority and Women Inclusion	Category: Annual Reports
Date: April 30, 2019	Title: Report on Administrative Proceedings For the Period October 1, 2018 through March 31, 2019(PDF) Secretary	Category: Special Studies
Date: March 18, 2019	Title: Fiscal Year 2020 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2018 Annual Performance Report	Category: Budget Reports
Date: Feb. 8, 2019	Title: Federal Employee Viewpoint Survey 2018(XLSX)	Category: Federal Employee Viewpoint Survey
Date: Jan. 30, 2019	Title: SEC FY 2018 Conference Spending (PDF) Financial Management	Category: Conference Spending
Date: Dec. 20, 2018	Title: Office of the Investor Advocate FY 2018 Report on Activities(PDF) Investor Advocate	Category: Annual Reports
Date: Dec. 18, 2018	Title: Annual Report to Congress on Nationally Recognized Statistical Rating Organization - June 26, 2017 - June 25, 2018 (PDF) Credit Ratings	Category: Annual Reports
Date: Dec. 18, 2018	Title: 2018 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization(PDF) Credit Ratings	Category: Special Studies
Date: Dec. 14, 2018	Title: Annual Staff Report Relating to the Use of Form PF Data(PDF) Investment Management	Category: Special Studies
Date: Nov. 15, 2018	Title: Fiscal Year 2018 Agency Financial Report	Category: Annual Reports
Date: Nov. 14, 2018	Title: 2018 Annual Report to Congress on the Dodd-Frank Whistleblower Program(PDF) Whistleblower	Category: Annual Reports
Date: Nov. 2, 2018	Title: Division of Enforcement 2018 Annual Report(PDF) Enforcement	Category: Annual Reports
Date: Oct. 31, 2018	Title: Report on Administrative Proceedings For the Period April 1, 2018 through September 30, 2018 (PDF) Secretary	Category: Special Studies
Date: Oct. 11, 2018	Title: 2018-2022 Strategic Plan(PDF)	Category: Strategic Plan
Date: Sept. 4, 2018	Title: Select SEC and Market Data 2017(PDF)	Category: Select SEC and Market Data
Date: June 29, 2018	Title: Office of the Investor Advocate Report on Objectives for Fiscal Year 2019(PDF) Investor Advocate	Category: Annual Reports
Date: June 19, 2018	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: June 12, 2018	Title: 2017 Report and Certification of Internal Supervisory Controls(PDF)	Category: Internal Supervisory Controls
Date: June 7, 2018	Title: Semiannual Management Report (May 2018)(PDF)	Category:
Date: April 30, 2018	Title: Report on Administrative Proceedings for the Period October 1, 2017, through March 31, 2018(PDF) Secretary	Category: Special Studies
Date: March 30, 2018	Title: SEC OMWI FY 2017 Annual Report to Congress(PDF) Minority and Women Inclusion	Category: Annual Reports
Date: Feb. 12, 2018	Title: Fiscal Year 2019 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2017 Annual Performance Report	Category: Budget Reports
Date: Dec. 21, 2017	Title: SEC FY 2017 Conference Spending (PDF) Financial Management	Category: Conference Spending
Date: Dec. 20, 2017	Title: Office of the Investor Advocate FY 2017 Report on Activities(PDF) Investor Advocate	Category: Annual Reports
Date: Dec. 4, 2017	Title: Semiannual Management Report (November 2017)(PDF)	Category:
Date: Nov. 15, 2017	Title: 2017 Annual Report to Congress on the Dodd-Frank Whistleblower Program(PDF) Whistleblower	Category: Annual Reports
Date: Nov. 15, 2017	Title: Division of Enforcement 2017 Annual Report(PDF) Enforcement	Category:
Date: Nov. 15, 2017	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: Nov. 14, 2017	Title: Fiscal Year 2017 Agency Financial Report	Category: Annual Reports
Date: Nov. 1, 2017	Title: Federal Employee Viewpoint Survey 2017(XLSX)	Category: Federal Employee Viewpoint Survey
Date: Oct. 31, 2017	Title: Report on Administrative Proceedings for the Period April 1, 2017 through September 30, 2017(PDF) Secretary	Category: Special Studies
Date: Oct. 16, 2017	Title: Annual Staff Report Relating to the Use of Form PF Data(PDF) Investment Management	Category: Special Studies
Date: Sept. 27, 2017	Title: Annual Equal Employment Opportunity Program Status Report 2016 (PDF) Equal Employment Opportunity(PDF) Equal Employment Opportunity	Category:
Date: Sept. 22, 2017	Title: FY 2015 Service Contract Inventory Analysis(PDF)	Category: Service Contract Inventory
Date: Sept. 22, 2017	Title: Planned Analysis of FY 2016 Inventory(PDF)	Category: Service Contract Inventory
Date: Sept. 11, 2017	Title: FAIR Inventory 2017(PDF)	Category: FAIR Act
Date: Aug. 8, 2017	Title: Access to Capital and Market Liquidity(PDF) Economic and Risk Analysis	Category: Special Studies
Date: June 29, 2017	Title: Office of the Investor Advocate Report on Objectives for Fiscal Year 2018(PDF) Investor Advocate	Category: Annual Reports
Date: June 5, 2017	Title: 2016 Report and Certification(PDF)	Category: Internal Supervisory Controls
Date: May 23, 2017	Title: Fiscal Year 2018 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2016 Annual Performance Report	Category: Budget Reports
Date: May 18, 2017	Title: Semiannual Management Report (May 2017)(PDF)	Category:
Date: April 28, 2017	Title: Report on Administrative Proceedings for the Period October 1, 2016 through March 31, 2017 (PDF) Secretary	Category: Special Studies
Date: March 30, 2017	Title: SEC OMWI FY 2016 Annual Report to Congress(PDF) Minority and Women Inclusion	Category: Annual Reports
Date: Jan. 19, 2017	Title: Summary of Performance and Financial Information, Fiscal Year 2016(PDF)	Category: Annual Reports
Date: Jan. 18, 2017	Title: Select SEC and Market Data 2016(PDF)	Category: Select SEC and Market Data
Date: Jan. 5, 2017	Title: SEC FY 2016 Conference Spending(PDF)	Category: Conference Spending
Date: Dec. 21, 2016	Title: Annual Report to Congress on Nationally Recognized Statistical Rating Organizations - June 26, 2015 – June 25, 2016 (PDF) Credit Ratings	Category: Annual Reports
Date: Dec. 21, 2016	Title: 2016 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization(PDF) Credit Ratings	Category: Special Studies
Date: Dec. 21, 2016	Title: Office of the Investor Advocate FY 2016 Report on Activities(PDF) Investor Advocate	Category: Annual Reports
Date: Dec. 1, 2016	Title: Semiannual Management Report (November 2016)(PDF)	Category:
Date: Nov. 23, 2016	Title: Report on Modernization and Simplification of Regulation S-K  (PDF)	Category:
Date: Nov. 15, 2016	Title: 2016 Annual Report to Congress on the Dodd-Frank Whistleblower Program(PDF) Whistleblower	Category: Annual Reports
Date: Nov. 15, 2016	Title: Fiscal Year 2016 Agency Financial Report	Category: Annual Reports
Date: Oct. 28, 2016	Title: Report on Administrative Proceedings for the Period April 1, 2016 through September 30, 2016(PDF)	Category: Special Studies
Date: Oct. 14, 2016	Title: Federal Employee Viewpoint Survey 2016(XLSX)	Category: Federal Employee Viewpoint Survey
Date: Sept. 8, 2016	Title: FAIR Inventory 2016(PDF)	Category: FAIR Act
Date: Sept. 8, 2016	Title: FAIR Act 2015 Inventory(PDF)	Category: FAIR Act
Date: Aug. 30, 2016	Title: Commission Releases Credit Ratings	Category:
Date: Aug. 23, 2016	Title: Annual Staff Report Relating to the Use of Data Collected from Private Fund Systemic Risk Reports(PDF) Investment Management	Category: Special Studies
Date: June 30, 2016	Title: Office of the Investor Advocate Report on Objectives for FY 2017(PDF) Investor Advocate	Category: Annual Reports
Date: May 25, 2016	Title: Semiannual Management Report (May 2016)(PDF)	Category:
Date: April 27, 2016	Title: Report on Administrative Proceedings For the Period October 1, 2015 through March 31, 2016(PDF)	Category: Special Studies
Date: April 22, 2016	Title: SEC FY2015 Appendix B and C SCI Details(XLSX)	Category: Service Contract Inventory
Date: April 22, 2016	Title: 2014-2018 Strategic Plan(PDF)	Category: Strategic Plan
Date: April 20, 2016	Title: Annual Equal Employment Opportunity Program Status Report 2015(PDF) Equal Employment Opportunity	Category:
Date: March 31, 2016	Title: SEC OMWI FY 2015 Annual Report to Congress(PDF) Minority and Women Inclusion	Category: Annual Reports
Date: Feb. 11, 2016	Title: Summary of Performance and Financial Information, Fiscal Year 2015(PDF)	Category: Annual Reports
Date: Feb. 9, 2016	Title: FY 2017 Congressional Justification & FY 2015 Annual Performance Report and FY 2017 Annual Performance Plan	Category: Budget Reports
Date: Feb. 5, 2016	Title: Select SEC and Market Data 2015(PDF)	Category: Select SEC and Market Data
Date: Jan. 12, 2016	Title: SEC FY2015 Supplement SCI(XLSX)	Category: Service Contract Inventory
Date: Jan. 12, 2016	Title: Planned Analysis of FY 2015 Inventory(PDF)	Category: Service Contract Inventory
Date: Jan. 6, 2016	Title: SEC FY 2015 Conference Spending(PDF)	Category: Conference Spending
Date: Dec. 28, 2015	Title: 2015 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization(PDF) Credit Ratings	Category: Special Studies
Date: Dec. 28, 2015	Title: Annual Report to Congress on Nationally Recognized Statistical Rating Organizations - June 26, 2014 – June 25, 2015(PDF) Credit Ratings	Category: Annual Reports
Date: Dec. 23, 2015	Title: 2015 Report and Certification(PDF)	Category: Internal Supervisory Controls
Date: Dec. 23, 2015	Title: Office of the Investor Advocate FY 2015 Report on Activities(PDF) Investor Advocate	Category: Annual Reports
Date: Dec. 18, 2015	Title: Report on the Review of the Definition of “Accredited Investor”(PDF) Corporation Finance	Category: Special Studies
Date: Dec. 7, 2015	Title: Semiannual Management Report (November 2015)(PDF)	Category:
Date: Nov. 16, 2015	Title: Fiscal Year 2015 Agency Financial Report	Category: Annual Reports
Date: Nov. 16, 2015	Title: 2015 Annual Report on the Dodd-Frank Whistleblower Program (PDF) Whistleblower	Category: Annual Reports
Date: Nov. 3, 2015	Title: SEC FY 2014 Conference Spending(PDF)	Category: Conference Spending
Date: Oct. 29, 2015	Title: Report on Administrative Proceedings for the Period April 1, 2015 through September 30, 2015(PDF)	Category: Special Studies
Date: Aug. 13, 2015	Title: Annual Staff Report Relating to the Use of Data Collected from Private Fund Systemic Risk Reports(PDF) Investment Management	Category: Special Studies
Date: July 13, 2015	Title: Joint Staff Report: The U.S. Treasury Market on October 15, 2014(PDF)	Category: Special Studies
Date: June 30, 2015	Title: Office of the Investor Advocate Report on Objectives for FY 2016(PDF) Investor Advocate	Category: Annual Reports
Date: May 27, 2015	Title: Semiannual Management Report (May 2015)(PDF)	Category:
Date: April 30, 2015	Title: Report on Administrative Proceedings For the Period October 1, 2014 through March 31, 2015(PDF)	Category: Special Studies
Date: April 15, 2015	Title: OCIE-FINRA Report on National Senior Investor Initiative(PDF) Compliance Inspections and Examinations	Category:
Date: April 10, 2015	Title: Annual Equal Employment Opportunity Program Status Report 2014(PDF) Equal Employment Opportunity	Category:
Date: April 6, 2015	Title: SEC OMWI FY 2014 Annual Report to Congress(PDF) Minority and Women Inclusion	Category: Annual Reports
Date: Feb. 12, 2015	Title: Summary of Performance and Financial Information, Fiscal Year 2014(PDF)	Category: Annual Reports
Date: Feb. 6, 2015	Title: Select SEC and Market Data 2014(PDF)	Category: Select SEC and Market Data
Date: Feb. 2, 2015	Title: FY 2016 Congressional Justification & FY 2014 Annual Performance Report and FY 2016 Annual Performance Plan	Category: Budget Reports
Date: Jan. 15, 2015	Title: SEC FY2013 Appendix C SCI Summary(PDF)	Category: Service Contract Inventory
Date: Jan. 15, 2015	Title: SEC FY2013 Appendix B SCI Detail(PDF)	Category: Service Contract Inventory
Date: Jan. 15, 2015	Title: FY 2013 Service Contract Inventory Analysis(PDF)	Category: Service Contract Inventory
Date: Jan. 15, 2015	Title: Planned Analysis of FY 2013 Inventory(PDF)	Category: Service Contract Inventory
Date: Jan. 5, 2015	Title: 2014 Results for Regions(PDF)	Category: Federal Employee Viewpoint Survey
Date: Jan. 5, 2015	Title: 2014 Results for Headquarters(PDF)	Category: Federal Employee Viewpoint Survey
Date: Dec. 23, 2014	Title: 2014 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization(PDF) Credit Ratings	Category: Special Studies
Date: Dec. 23, 2014	Title: Annual Report to Congress - June 26, 2013 – June 25, 2014(PDF) Credit Ratings	Category: Annual Reports
Date: Dec. 23, 2014	Title: Office of the Investor Advocate FY 2014 Report on Activities(PDF) Investor Advocate	Category:
Date: Dec. 22, 2014	Title: 2014 Report and Certification (PDF)	Category: Internal Supervisory Controls
Date: Dec. 2, 2014	Title: Semiannual Management Report (November 2014)(PDF)	Category:
Date: Nov. 17, 2014	Title: 2014 Annual Report on the Dodd-Frank Whistleblower Program (PDF) Whistleblower	Category: Annual Reports
Date: Nov. 17, 2014	Title: Fiscal Year 2014 Agency Financial Report	Category: Annual Reports
Date: Nov. 11, 2014	Title: SEC FY2014 Appendix B and C SCI Details(XLSX)	Category: Service Contract Inventory
Date: Nov. 11, 2014	Title: FY 2014 Service Contract Inventory Analysis(PDF)	Category: Service Contract Inventory
Date: Nov. 6, 2014	Title: SEC FY2014 Supplement SCI(XLSX)	Category: Service Contract Inventory
Date: Nov. 4, 2014	Title: Planned Analysis of FY 2014 Inventory(PDF)	Category: Service Contract Inventory
Date: Nov. 3, 2014	Title: SEC FY 2013 Conference Spending(PDF)	Category: Conference Spending
Date: Oct. 29, 2014	Title: Report on Administrative Proceedings for the Period April 1, 2014 through September 30, 2014(PDF)	Category: Special Studies
Date: Aug. 18, 2014	Title: 2014 Inventory (PDF)	Category: FAIR Act
Date: Aug. 15, 2014	Title: Annual Staff Report Relating to the Use of Data Collected from Private Fund Systemic Risk Reports(PDF)	Category: Special Studies
Date: June 30, 2014	Title: Report on Objectives - Office of the Investor Advocate(PDF)	Category: Annual Reports
Date: June 5, 2014	Title: Short Sale Position and Transaction Reporting(PDF) Economic and Risk Analysis	Category: Special Studies
Date: May 23, 2014	Title: Semiannual Management Report (May 2014) (PDF)	Category:
Date: April 30, 2014	Title: Report on Administrative Proceedings For the Period October 1, 2013 through March 31, 2014(PDF)	Category: Special Studies
Date: April 18, 2014	Title: SEC OMWI FY 2013 Annual Report to Congress(PDF) Minority and Women Inclusion	Category: Annual Reports
Date: March 14, 2014	Title: 2013: Division of Investment Management Year in Review (PDF) Investment Management	Category: Annual Reports
Date: March 7, 2014	Title: FY 2015 Congressional Justification and Performance Plan & FY 2013 Annual Performance Report	Category: Budget Reports
Date: Feb. 27, 2014	Title: Q&A: Small Business and the SEC	Category: Investor Publications
Date: Feb. 19, 2014	Title: Identity Theft: Learn How To Protect Yourself	Category: Investor Publications
Date: Feb. 19, 2014	Title: Understanding Investment Professional Designations (tips from FINRA)	Category: Investor Publications
Date: Feb. 7, 2014	Title: Select SEC and Market Data 2013(PDF)	Category: Select SEC and Market Data
Date: Jan. 12, 2014	Title: Beginners' Guide to Financial Statements Investor Education and Advocacy	Category: Investor Publications
Date: Dec. 24, 2013	Title: 2013 Summary Report of Commission Staffs Examinations of Each Nationally Recognized Statistical Rating Organization(PDF)	Category: Special Studies
Date: Dec. 20, 2013	Title: JOBS Act Section 108 Report to Congress on Review of Disclosure Requirements in Regulation S-K(PDF)	Category: Special Studies
Date: Dec. 17, 2013	Title: 2013 Report and Certification (PDF)	Category: Internal Supervisory Controls
Date: Dec. 16, 2013	Title: 2013 Agency Financial Report	Category: Annual Reports
Date: Dec. 1, 2013	Title: Annual Report to Congress - June 26, 2012 to June 25, 2013(PDF) Credit Ratings	Category: Annual Reports
Date: Nov. 27, 2013	Title: Semiannual Management Report(PDF)	Category:
Date: Nov. 21, 2013	Title: Report to Congress on Credit Rating Agency Independence Study(PDF)	Category: Special Studies
Date: Nov. 18, 2013	Title: 2013 Annual Report on the Dodd-Frank Whistleblower Program(PDF) Whistleblower	Category: Annual Reports
Date: Oct. 30, 2013	Title: Report on Administrative Proceedings for the Period April 1, 2013 through September 30, 2013(PDF)	Category: Special Studies
Date: Oct. 9, 2013	Title: Affinity Fraud: How to Avoid Investment Scams That Target Group	Category: Investor Publications
Date: Oct. 2, 2013	Title: HSPD-12 Implementation Status Report (Personal Identification Verification (PIV) Credentials)(PDF)	Category:
Date: Sept. 18, 2013	Title: Microcap Stock: A Guide for Investors	Category: Investor Publications
Date: Sept. 5, 2013	Title: "Phishing" Fraud: How to Avoid Getting Fried by Phony Phishermen	Category: Investor Publications
Date: Aug. 7, 2013	Title: 2013 Inventory(PDF)	Category: FAIR Act
Date: July 25, 2013	Title: Annual Staff Report Relating to the Use of Data Collected from Private Fund Systemic Risk Reports(PDF)	Category: Special Studies
Date: April 30, 2013	Title: Fourth Report on the Implementation of SEC Organizational Reform Recommendations(PDF)	Category: Special Studies
Date: April 30, 2013	Title: Report on Administrative Proceedings for the Period October 1, 2012 through March 31, 2013(PDF)	Category: Special Studies
Date: April 24, 2013	Title: Office of Minority and Women Inclusion Annual Report(PDF)	Category: Annual Reports
Date: April 19, 2013	Title: A Guide for Seniors: Protect Yourself Against Investment Fraud(PDF)	Category: Investor Publications
Date: April 10, 2013	Title: FY 2014 Congressional Justification and Performance Plan & FY 2012 Annual Performance Report	Category: Budget Reports
Date: Feb. 7, 2013	Title: Summary of Performance and Financial Information, Fiscal Year 2012 (PDF)(PDF)	Category: Annual Reports
Date: Feb. 6, 2013	Title: Select SEC and Market Data 2012(PDF)	Category: Select SEC and Market Data
Date: Jan. 31, 2013	Title: SEC FY 2012 Conference Spending(PDF)	Category: Conference Spending
Date: Jan. 16, 2013	Title: Rule 144: Selling Restricted and Control Securities	Category: Investor Publications
Date: Jan. 16, 2013	Title: Trade Execution: What Every Investor Should Know	Category: Investor Publications
Date: Dec. 28, 2012	Title: SEC FY2012 Appendix C SCI Summary(PDF)	Category: Service Contract Inventory
Date: Dec. 19, 2012	Title: 2012 Report and Certification(PDF)	Category: Internal Supervisory Controls
Date: Dec. 18, 2012	Title: SEC FY2012 Appendix B SCI Detail(PDF)	Category: Service Contract Inventory
Date: Dec. 18, 2012	Title: Assigned Credit Ratings(PDF)	Category: Special Studies
Date: Dec. 17, 2012	Title: FY 2012 Service Contract Inventory Analysis(PDF)	Category: Service Contract Inventory
Date: Dec. 13, 2012	Title: SEC FY2011 Appendix C SCI Summary(PDF)	Category: Service Contract Inventory
Date: Dec. 13, 2012	Title: SEC FY2011 Appendix B SCI Detail(PDF)	Category: Service Contract Inventory
Date: Dec. 13, 2012	Title: FY 2011 Service Contract Inventory Analysis(PDF)	Category: Service Contract Inventory
Date: Dec. 13, 2012	Title: Planned Analysis of FY 2011 Inventory(PDF)	Category: Service Contract Inventory
Date: Dec. 11, 2012	Title: Planned Analysis of FY 2012 Inventory(PDF)	Category: Service Contract Inventory
Date: Dec. 4, 2012	Title: Researching the Federal Securities Laws Through the SEC Website	Category: Investor Publications
Date: Dec. 1, 2012	Title: Annual Report to Congress - June 26, 2011 to June 25, 2012(PDF) Credit Ratings	Category: Annual Reports
Date: Nov. 15, 2012	Title: 2012 Annual Report on the Dodd-Frank Whistleblower Program(PDF) Whistleblower	Category: Annual Reports
Date: Nov. 15, 2012	Title: 2012 Summary Report of Commission Staffs Examinations of Each Nationally Recognized Statistical Rating Organization(PDF)	Category: Special Studies
Date: Oct. 25, 2012	Title: Report on Administrative Proceedings for the Period April 1, 2012 through September 30, 2012(PDF)	Category: Special Studies
Date: Oct. 17, 2012	Title: Third Report on the Implementation of SEC Organizational Reform Recommendations(PDF)	Category: Special Studies
Date: Oct. 16, 2012	Title: JOBS Act Section 504 Report on Authority to Enforce Exchange Act Rule 12g5-1 and Subsection (b)(3)(PDF)	Category: Special Studies
Date: Sept. 24, 2012	Title: Guide to Insider Trading: Online Publications at the SE	Category: Investor Publications
Date: Sept. 7, 2012	Title: Report on Credit Rating Standardization(PDF)	Category: Special Studies
Date: Aug. 30, 2012	Title: SEC Staff Study Regarding Financial Literacy Among Investors	Category: Special Studies
Date: Aug. 7, 2012	Title: Investment Advisers: What You Need to Know Before Choosing One	Category: Investor Publications
Date: July 31, 2012	Title: Report on the Municipal Securities Market(PDF)	Category: Special Studies
Date: July 20, 2012	Title: JOBS Act Section 106 Report to Congress on Decimalization(PDF)	Category: Special Studies
Date: July 12, 2012	Title: 2012 Inventory(PDF)	Category: FAIR Act
Date: April 30, 2012	Title: Report on Administrative Proceedings for the Period October 1, 2011 through March 31, 2012(PDF)	Category: Special Studies
Date: April 11, 2012	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: April 10, 2012	Title: Office of Minority and Women Inclusion Annual Report(PDF)	Category: Annual Reports
Date: March 30, 2012	Title: Report on the Implementation of SEC Organizational Reform Recommendations(PDF)	Category: Special Studies
Date: March 1, 2012	Title: Annual Report to Congress - June 26, 2010 to June 25, 2011(PDF) Credit Ratings	Category: Annual Reports
Date: Feb. 15, 2012	Title: Congressional Justification FY 2013 in Brief(PDF)	Category: Budget Reports
Date: Feb. 1, 2012	Title: Joint Report on International Swap Regulation(PDF)	Category: Special Studies
Date: Jan. 19, 2012	Title: Researchers and LibrariansEasy Access to Selected Securities and Investor Information at the SEC	Category: Investor Publications
Date: Jan. 3, 2012	Title: Select SEC and Market Data 2011(PDF)	Category: Select SEC and Market Data
Date: Jan. 1, 2012	Title: 2012 Agency Financial Report	Category: Annual Reports
Date: Dec. 16, 2011	Title: 2011 Report and Certification(PDF)	Category: Internal Supervisory Controls
Date: Nov. 14, 2011	Title: 2011 Annual Report on the Dodd-Frank Whistleblower Program(PDF) Whistleblower	Category: Annual Reports
Date: Nov. 4, 2011	Title: Report on Administrative Proceedings for the Period April 1, 2011 through September 30, 2011(PDF)	Category: Special Studies
Date: Oct. 6, 2011	Title: Mutual-to-Stock Conversions: Tips for Investor	Category: Investor Publications
Date: Sept. 30, 2011	Title: 2011 Summary Report of Commission Staff's Examinations of Each Nationally Recognized Statistical Rating Organization(PDF)	Category: Special Studies
Date: Sept. 9, 2011	Title: Report on the Implementation of SEC Organizational Reform Recommendations(PDF)	Category: Special Studies
Date: July 27, 2011	Title: Staff Summary Report on Issues Identified in Examinations of Certain Structured Securities Products Sold to Retail Investors(PDF)	Category: Special Studies
Date: July 21, 2011	Title: Report on Review of Reliance on Credit Ratings(PDF)	Category: Special Studies
Date: July 18, 2011	Title: Review of SEC Contracts for Inclusion of Language Addressing Privacy Act Requirements(PDF) Inspector General	Category:
Date: July 12, 2011	Title: 2011 Inventory(PDF)	Category: FAIR Act
Date: June 29, 2011	Title: Oversight of and Compliance with Conditions and Representations Related to Exemptive Orders and No-Action Letters(PDF) Inspector General	Category:
Date: June 15, 2011	Title: Establishment of the Office of Minority and Women Inclusion(PDF) Inspector General	Category:
Date: June 13, 2011	Title: Report of Review of Economic Analyses Performed by the Securities and Exchange Commission in Connection with Dodd-Frank Act Rulemakings(PDF) Inspector General	Category:
Date: May 16, 2011	Title: Improper Actions Relating to the Leasing of Office Space(PDF) Inspector General	Category:
Date: April 22, 2011	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: April 20, 2011	Title: Report on Administrative Proceedings for the Period October 1, 2010 through March 31, 2011(PDF)	Category: Special Studies
Date: April 7, 2011	Title: Joint Study on the Feasibility of Mandating Algorithmic Descriptions for Derivatives(PDF)	Category: Special Studies
Date: April 5, 2011	Title: 2010 Report(PDF)	Category: Buy American Act
Date: March 31, 2011	Title: The SEC's Implementation of and Compliance with Homeland Security Presidential Directive 12(PDF) Inspector General	Category:
Date: March 30, 2011	Title: SEC's Oversight of the Securities Investor Protection Corporation's Activities(PDF) Inspector General	Category:
Date: March 30, 2011	Title: OCIE Regional Offices’ Referrals to Enforcement(PDF) Inspector General	Category:
Date: March 29, 2011	Title: Audit of the SEC Budget Execution Cycle(PDF) Inspector General	Category:
Date: March 10, 2011	Title: U.S. Securities and Exchange Commission Organizational Study and Reform(PDF)	Category: Special Studies
Date: March 3, 2011	Title: 2010 Annual FISMA Executive Summary Report(PDF) Inspector General	Category:
Date: Feb. 16, 2011	Title: About the SECs Office of Investor Education and Advocacy	Category: Investor Publications
Date: Feb. 14, 2011	Title: Congressional Justification FY 2012 in Brief(PDF)	Category: Budget Reports
Date: Feb. 14, 2011	Title: Investigation of Abuse of Compensatory Time for Travel by a Headquarters Manager and Ineffective Supervision by Management(PDF) Inspector General	Category:
Date: Feb. 1, 2011	Title: Internet Fraud: How to Avoid Internet Investment Scams	Category: Investor Publications
Date: Jan. 26, 2011	Title: Study and Recommendations on Improved Investor Access to Registration Information About Investment Advisers and Broker-Dealers(PDF)	Category: Special Studies
Date: Jan. 21, 2011	Title: Study on Investment Advisers and Broker-Dealers	Category: Special Studies
Date: Jan. 19, 2011	Title: Staff Study on Enhancing Investment Adviser Examinations	Category: Special Studies
Date: Jan. 10, 2011	Title: Select SEC and Market Data 2010(PDF)	Category: Select SEC and Market Data
Date: Jan. 1, 2011	Title: 2011 Annual Report	Category: Annual Reports
Date: Jan. 1, 2011	Title: Annual Report to Congress - June 26, 2009 to June 25, 2010(PDF) Credit Ratings	Category: Annual Reports
Date: Dec. 23, 2010	Title: Review of Select Time-and-Materials and Labor-Hour Contracts (PDF)(PDF) Inspector General	Category:
Date: Dec. 14, 2010	Title: Improprieties in the Selection of Information Technology and the Award of a Sole-Source Contract(PDF) Inspector General	Category:
Date: Dec. 3, 2010	Title: Investigation Concerning the Role of Political Appointees in the SEC's Response to Requests Pursuant to the Freedom of Information Act and From Members of Congress(PDF) Inspector General	Category:
Date: Nov. 12, 2010	Title: E-Government Act Implementation Updates: FY 2010 Update(PDF)	Category:
Date: Oct. 29, 2010	Title: Annual Report on Whistleblower Program(PDF)	Category: Special Studies
Date: Oct. 29, 2010	Title: Report on Administrative Proceedings for Period April 1, 2010 through September 30, 2010(PDF)	Category: Special Studies
Date: Oct. 27, 2010	Title: 2010-2015 Strategic Plan(PDF)	Category: Strategic Plan
Date: Oct. 26, 2010	Title: Investigation of the Failure of the SEC's Los Angeles Regional Office to Uncover Fraud in Westridge Capital Management Notwithstanding Investment Adviser Examination Conducted in 2005 and Inappropriate Conduct on the Part of Senior Los Angeles Official.(PDF) Inspector General	Category:
Date: Sept. 30, 2010	Title: Allegations of Improper Coordination Between the SEC and Other Governmental Entities Concerning the SEC's Enforcement Action Against Goldman Sachs & Co.(PDF) Inspector General	Category:
Date: Sept. 30, 2010	Title: Findings Regarding the Market Events of May 6, 2010(PDF)	Category: Special Studies
Date: Sept. 30, 2010	Title: Investigation of the Circumstances Surrounding SEC's Proposed Settlements with Bank of America, Including a Review of the Court's Rejection of the SEC's First Proposed Settlement and Analysis of the Impact of Bank of America's Status as a TARP Recipient(PDF) Inspector General	Category:
Date: Sept. 30, 2010	Title: Real Property Leasing Procurement Process (PDF)(PDF) Inspector General	Category:
Date: Sept. 30, 2010	Title: Review of PRISM Automated Procurement System Support Contracts (PDF)(PDF) Inspector General	Category:
Date: Sept. 30, 2010	Title: Semiannual Report to Congress: April 1, 2010 through September 30, 2010(PDF) Inspector General	Category:
Date: Sept. 30, 2010	Title: Semiannual Report to Congress: April 1, 2010 through September 30, 2010 Accessible Tables(PDF) Inspector General	Category:
Date: Sept. 29, 2010	Title: Assessment of Corporation Finance's Confidential Treatment Processes and Procedures (PDF)(PDF) Inspector General	Category:
Date: Sept. 29, 2010	Title: Assessment of the SEC's Privacy Program (PDF)(PDF) Inspector General	Category:
Date: Sept. 27, 2010	Title: Review of the SEC's Section 13(f) Reporting Requirements (PDF)(PDF) Inspector General	Category:
Date: Sept. 22, 2010	Title: Audit of the FedTraveler Travel Service (PDF)(PDF) Inspector General	Category:
Date: Aug. 30, 2010	Title: Analyzing Analyst Recommendations Trading and Markets	Category: Investor Publications
Date: Aug. 11, 2010	Title: Allegations of Failure of SEC to Investigate Illegal Insider Trading and Accounting Fraud; Alleged Misconduct by SEC Staff(PDF) Inspector General	Category:
Date: Aug. 10, 2010	Title: The SEC Mutual Fund Cost Calculator: A Tool for Comparing Mutual Funds	Category: Investor Publications
Date: July 22, 2010	Title: Life Settlements Task Force: Staff Report to the United States Securities and Exchange Commission(PDF)	Category: Special Studies
Date: July 12, 2010	Title: 2010 Inventory(PDF)	Category: FAIR Act
Date: June 8, 2010	Title: Investigation of Alleged Misconduct by the Atlanta Regional Office in its Investigation of Krispy Kreme Doughnuts, LLC(PDF) Inspector General	Category:
Date: April 27, 2010	Title: Report on Administrative Proceedings for Period October 1, 2009 through March 31, 2010(PDF)	Category: Special Studies
Date: March 31, 2010	Title: Investigation of the SEC's Response to Concerns Regarding Robert Allen Stanford's Alleged Ponzi Scheme(PDF) Inspector General	Category:
Date: March 31, 2010	Title: Semiannual Report to Congress: October 1, 2009 through March 31, 2010(PDF) Inspector General	Category:
Date: March 31, 2010	Title: Semiannual Report to Congress: October 1, 2009 through March 31, 2010 Accessible Tables(PDF) Inspector General	Category:
Date: March 30, 2010	Title: 2009 Report(PDF)	Category: Buy American Act
Date: March 29, 2010	Title: Assessment of the SEC's Bounty Program (PDF)(PDF) Inspector General	Category:
Date: March 26, 2010	Title: 2009 FISMA Executive Summary Report (PDF)(PDF) Inspector General	Category:
Date: March 26, 2010	Title: Assessment of the SEC Information Technology Investment Process (PDF)(PDF) Inspector General	Category:
Date: March 26, 2010	Title: Evaluation of the SEC Encryption Program (PDF)(PDF) Inspector General	Category:
Date: March 26, 2010	Title: Evaluation of the SEC Privacy Program (PDF)(PDF) Inspector General	Category:
Date: March 26, 2010	Title: Management and Oversight of Interagency Acquisition Agreements at the SEC (PDF)(PDF) Inspector General	Category:
Date: March 1, 2010	Title: Management Alert – Data Security Vulnerabilities (PDF)(PDF) Inspector General	Category:
Date: Feb. 26, 2010	Title: Failure to Timely Investigate Allegations of Financial Fraud(PDF) Inspector General	Category:
Date: Feb. 14, 2010	Title: Congressional Justification FY 2011 in Brief(PDF)	Category: Budget Reports
Date: Jan. 12, 2010	Title: Unauthorized Disclosure of Non-Public Information(PDF) Inspector General	Category:
Date: Jan. 8, 2010	Title: Allegations of Conflict to Interest, Improper Use of Non-Public Information and Failure to Take Sufficient Action Against Fraudlent Company(PDF) Inspector General	Category:
Date: Jan. 1, 2010	Title: 2010 Annual Report	Category: Annual Reports
Date: Dec. 14, 2009	Title: Five Questions to Ask Before You Invest	Category: Investor Publications
Date: Dec. 8, 2009	Title: Exhibits to Report of Investigation Inspector General	Category:
Date: Dec. 2, 2009	Title: Beginners Guide to Investing	Category: Investor Publications
Date: Dec. 2, 2009	Title: Fake Seals and Phony Numbers: How Fraudsters Try to Look Legit	Category: Investor Publications
Date: Dec. 2, 2009	Title: SIPC Exposes Phony "Look-Alike" Web Site Enforcement	Category: Investor Publications
Date: Dec. 2, 2009	Title: Taking Stock: Getting Your Fiscal Act Together	Category: Investor Publications
Date: Nov. 24, 2009	Title: Disclosures of Non-Public Procurement Information and Lack of Candor at Headquarters(PDF) Inspector General	Category:
Date: Nov. 19, 2009	Title: Allegations of Retaliatory Conduct by Division of Enforcement Staff(PDF) Inspector General	Category:
Date: Nov. 19, 2009	Title: Review of the Commission's Processes for Selecting Investment Advisers and Investment Companies for Examination(PDF) Inspector General	Category:
Date: Nov. 18, 2009	Title: Cold Calling: Unsolicited Calls from Brokers	Category: Investor Publications
Date: Nov. 16, 2009	Title: Select SEC and Market Data 2009(PDF)	Category: Select SEC and Market Data
Date: Nov. 15, 2009	Title: E-Government Act Implementation Updates: FY 2009 Update(PDF)	Category:
Date: Nov. 12, 2009	Title: Guide to Identifying and Avoiding Securities Fraud	Category: Investor Publications
Date: Nov. 6, 2009	Title: Allegations of Misconduct by Current and Former SEC Officials at the Boston Regional Office(PDF) Inspector General	Category:
Date: Oct. 30, 2009	Title: Report on Administrative Proceedings for Period April 1, 2009 through September 30, 2009(PDF)	Category: Special Studies
Date: Oct. 6, 2009	Title: Compliance Guide to the Registration and Regulation of Brokers and Dealers	Category: Investor Publications
Date: Sept. 30, 2009	Title: Allegations of Improper Disclosures and Assurances Given(PDF) Inspector General	Category:
Date: Sept. 30, 2009	Title: Semiannual Report to Congress: April 1, 2009 through September 30, 2009(PDF) Inspector General	Category:
Date: Sept. 29, 2009	Title: Review and Analysis of OCIE Examinations of Bernard L. Madoff Investment Securities, LLC(PDF) Inspector General	Category:
Date: Sept. 25, 2009	Title: Audit of the Office of Acquisitions' Procurement and Contract Management Functions(PDF) Inspector General	Category:
Date: Sept. 25, 2009	Title: Review of the SEC's Compliance with the Freedom of Information Act(PDF) Inspector General	Category:
Date: Sept. 4, 2009	Title: Executive Summary: Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme(PDF)	Category: Special Studies
Date: Sept. 4, 2009	Title: Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme	Category: Special Studies
Date: Sept. 1, 2009	Title: Annual Report to Congress - June 26, 2008 to June 25, 2009(PDF) Credit Ratings	Category: Annual Reports
Date: Aug. 31, 2009	Title: Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme(PDF) Inspector General	Category:
Date: Aug. 28, 2009	Title: Beginners' Guide to Asset Allocation, Diversification, and Rebalancing	Category: Investor Publications
Date: Aug. 27, 2009	Title: The SEC's Role Regarding and Oversight of Nationally Recognized Statistical Rating Organizations (NRSROs)(PDF) Inspector General	Category:
Date: Aug. 10, 2009	Title: Management Alert - Microsoft Premier Support Services Contract(PDF) Inspector General	Category:
Date: July 12, 2009	Title: 2009 Inventory(PDF)	Category: FAIR Act
Date: June 19, 2009	Title: Investigation of Fort Worth Regional Office's Conduct of the Stanford Investigation(PDF) Inspector General	Category:
Date: June 9, 2009	Title: All About Auto-Trading	Category: Investor Publications
Date: June 9, 2009	Title: How To Avoid Fraud	Category: Investor Publications
Date: June 1, 2009	Title: Warning to All Investors About Bogus "Prime Bank" and Other Banking-Related Investment Schemes	Category: Investor Publications
Date: May 6, 2009	Title: Ultra-Short Bond Funds: Know Where You're Parking Your Money	Category: Investor Publications
Date: May 6, 2009	Title: Congressional Justification FY 2010 in Brief(PDF)	Category: Budget Reports
Date: April 28, 2009	Title: Report on Administrative Proceedings for Period October 1, 2008 through March 31, 2009(PDF)	Category: Special Studies
Date: April 21, 2009	Title: Beginners Guide to Mutual Funds	Category: Investor Publications
Date: April 17, 2009	Title: Margin: Borrowing Money to Pay for Stocks	Category: Investor Publications
Date: April 16, 2009	Title: Transferring your Brokerage Account: Tips on Avoiding Delays	Category: Investor Publications
Date: April 3, 2009	Title: 2008 Report(PDF)	Category: Buy American Act
Date: March 31, 2009	Title: Regulation D Exemption Process(PDF) Inspector General	Category:
Date: March 31, 2009	Title: Review of the Commission's Restacking Project(PDF) Inspector General	Category:
Date: March 31, 2009	Title: Semiannual Report to Congress: October 1, 2008 through March 31, 2009(PDF) Inspector General	Category:
Date: March 27, 2009	Title: 2008 Audit of Sensitive Payments(PDF) Inspector General	Category:
Date: March 27, 2009	Title: Audit of Public Transportation Benefit Program(PDF) Inspector General	Category:
Date: March 24, 2009	Title: OASIS System Report - 2008 FISMA(PDF) Inspector General	Category:
Date: March 18, 2009	Title: Practices Related to Naked Short Selling Complaints and Referrals(PDF) Inspector General	Category:
Date: March 17, 2009	Title: Execution Quality Statistics: How to Find Information on Order Execution and Routing Practices	Category: Investor Publications
Date: Feb. 27, 2009	Title: "Senior" Specialists and Advisors: What You Should Know About Professional Designations	Category: Investor Publications
Date: Feb. 27, 2009	Title: CTR System Report – 2008 FISMA(PDF) Inspector General	Category:
Date: Feb. 27, 2009	Title: Online Brokerage Accounts: What You Can Do to Safeguard Your Money and Your Personal Information	Category: Investor Publications
Date: Feb. 4, 2009	Title: The Fleecing of Foreign Investors: Avoid Getting Burned by "Hot" U.S. Stocks	Category: Investor Publications
Date: Feb. 3, 2009	Title: Bankruptcy: What Happens When Public Companies Go Bankrupt	Category: Investor Publications
Date: Feb. 3, 2009	Title: Division of Enforcement's Disgorgement Waivers(PDF) Inspector General	Category:
Date: Jan. 1, 2009	Title: 2009 Annual Report	Category: Annual Reports
Date: Dec. 30, 2008	Title: SEC's Congressionally Mandated Study on Mark-to-Market Accounting(PDF)	Category: Special Studies
Date: Dec. 3, 2008	Title: High-Yield CDs: Protect Your Money by Checking the Fine Print	Category: Investor Publications
Date: Nov. 21, 2008	Title: Select SEC and Market Data 2008(PDF)	Category: Select SEC and Market Data
Date: Nov. 4, 2008	Title: After-Hours Trading: Understanding the Risks	Category: Investor Publications
Date: Oct. 31, 2008	Title: Report on Administrative Proceedings for Period April 1, 2008 through September 30, 2008(PDF)	Category: Special Studies
Date: Oct. 16, 2008	Title: 2008 Inventory(PDF)	Category: FAIR Act
Date: Oct. 14, 2008	Title: E-Government Act Implementation Updates: FY 2008 Update(PDF)	Category:
Date: Sept. 30, 2008	Title: Inspection of Corporation Finance Referrals(PDF) Inspector General	Category:
Date: Sept. 30, 2008	Title: Semiannual Report to Congress: April 1, 2008 through September 30, 2008(PDF) Inspector General	Category:
Date: Sept. 29, 2008	Title: Audit of Premium Travel(PDF) Inspector General	Category:
Date: Sept. 29, 2008	Title: Survey of Enforcement's Hub System(PDF) Inspector General	Category:
Date: Sept. 29, 2008	Title: 2008 FISMA Executive Summary Report (Public Redacted Version — Report Addresses Issues Associated With Information Security)(PDF) Inspector General	Category:
Date: Sept. 25, 2008	Title: SEC's Oversight of Bear Stearns and Related Entities: Broker-Dealer Risk Assessment Program(PDF) Inspector General	Category:
Date: Sept. 25, 2008	Title: SEC's Oversight of Bear Stearns and Related Entities: Consolidated-Supervised Entity Program(PDF) Inspector General	Category:
Date: Sept. 18, 2008	Title: Internal Control Review of the Government Purchase Card Program(PDF) Inspector General	Category:
Date: Sept. 16, 2008	Title: Enforcement Policies and Procedures for the Selection of Receivers, Administrators and Consultants(PDF) Inspector General	Category:
Date: July 14, 2008	Title: Promissory Notes: Promises, Problems(PDF)	Category: Investor Publications
Date: July 8, 2008	Title: Summary Report of Issues Identified in the Commission Staff's Examinations of Select Credit Rating Agencies(PDF)	Category: Special Studies
Date: July 1, 2008	Title: Getting Info About Companies	Category: Investor Publications
Date: June 9, 2008	Title: Evaluating Your Retirement Options: The 403(b) Plan	Category: Investor Publications
Date: June 1, 2008	Title: Annual Report to Congress - June 26, 2007 to June 25, 2008(PDF) Credit Ratings	Category: Annual Reports
Date: April 30, 2008	Title: Report on Administrative Proceedings For Period October 1, 2007 through March 31, 2008(PDF)	Category: Special Studies
Date: March 31, 2008	Title: Controls Over Laptops(PDF) Inspector General	Category:
Date: March 31, 2008	Title: Enterprise Architecture Assessment(PDF) Inspector General	Category:
Date: March 31, 2008	Title: SRO Rule Filing Process(PDF) Inspector General	Category:
Date: March 31, 2008	Title: 2007 Report(PDF)	Category: Buy American Act
Date: March 31, 2008	Title: Semiannual Report to Congress: October 1, 2007 through March 31, 2008(PDF) Inspector General	Category:
Date: March 28, 2008	Title: Background Investigations(PDF) Inspector General	Category:
Date: March 28, 2008	Title: Usefulness of IM's Website(PDF) Inspector General	Category:
Date: March 27, 2008	Title: Student Loan Program(PDF) Inspector General	Category:
Date: March 24, 2008	Title: Investment Choices and Methods	Category: Investor Publications
Date: March 3, 2008	Title: OMB Exhibit 300 Reports FY 2009	Category: Budget Reports
Date: Feb. 4, 2008	Title: Congressional Justification FY 2009 in Brief(PDF)	Category: Budget Reports
Date: Jan. 31, 2008	Title: Mini-Tender Offers: Tips for Investors	Category: Investor Publications
Date: Jan. 1, 2008	Title: 2008 Annual Report — Performance and Accountability Report	Category: Annual Reports
Date: Jan. 1, 2008	Title: 2008 Citizens’ Report	Category: Annual Reports
Date: Dec. 12, 2007	Title: Oversight of Receivers and Distribution Agents(PDF) Inspector General	Category:
Date: Nov. 15, 2007	Title: Select SEC and Market Data 2007(PDF)	Category: Select SEC and Market Data
Date: Oct. 31, 2007	Title: Report on Administrative Proceedings for Period April 1, 2007 through September 30, 2007(PDF)	Category: Special Studies
Date: Oct. 31, 2007	Title: Semiannual Report to Congress: April 1, 2007 through September 30, 2007(PDF) Inspector General	Category:
Date: Oct. 15, 2007	Title: E-Government Act Implementation Updates: FY 2007 Update(PDF)	Category:
Date: Sept. 25, 2007	Title: Contract Ratifications(PDF) Inspector General	Category:
Date: Sept. 25, 2007	Title: Investment Company Disclosure Initiatives(PDF) Inspector General	Category:
Date: Sept. 25, 2007	Title: Comments on Inspections Report of Contract Ratification(PDF) Inspector General	Category:
Date: Aug. 22, 2007	Title: 2007 Inventory(PDF)	Category: FAIR Act
Date: Aug. 15, 2007	Title: Avoiding Internet Investment Scams: Tips for Investors	Category: Investor Publications
Date: Aug. 1, 2007	Title: "Pro Forma" Financial Information: Tips for Investors	Category: Investor Publications
Date: Aug. 1, 2007	Title: Oil and Gas Scams: Common Red Flags and Steps You Can Take to Protect Yoursel	Category: Investor Publications
Date: Aug. 1, 2007	Title: Periodic Payment Plans	Category: Investor Publications
Date: Aug. 1, 2007	Title: Privacy Choices for Your Personal Financial Information	Category: Investor Publications
Date: Aug. 1, 2007	Title: Ask Questions: Questions You Should Ask About Your Investments and What To Do If You Run Into Problems	Category: Investor Publications
Date: Aug. 1, 2007	Title: Get the Facts on Saving and Investing	Category: Investor Publications
Date: Aug. 1, 2007	Title: Invest Wisely: Advice From Your Securities Industry Regulators	Category: Investor Publications
Date: Aug. 1, 2007	Title: Pregunte (folleto en Espanol) ("Ask Questions" brochure in Spanish)	Category: Investor Publications
Date: Aug. 1, 2007	Title: Tips for Online Investing: What You Need to Know About Trading In Fast-Moving Markets	Category: Investor Publications
Date: July 31, 2007	Title: Form for Taking Notes	Category: Investor Publications
Date: July 25, 2007	Title: Electronic Documents Program(PDF) Inspector General	Category:
Date: May 8, 2007	Title: Mutual Fund Investing: Look at More Than a Funds Past Performance	Category: Investor Publications
Date: April 30, 2007	Title: Semiannual Report to Congress: October 1, 2006 through March 31, 2007(PDF) Inspector General	Category:
Date: April 27, 2007	Title: Report on Administrative Proceedings for Period October 1, 2006 through March 31, 2007(PDF)	Category: Special Studies
Date: March 30, 2007	Title: Backlog of FOIA Requests For Comment Letters(PDF) Inspector General	Category:
Date: March 29, 2007	Title: Report on Refunds, Sales Practices, and Revenues from Periodic Payment Plans(PDF)	Category: Special Studies
Date: March 29, 2007	Title: 2006 Report(PDF)	Category: Buy American Act
Date: March 28, 2007	Title: Audit of Full Disclosure Program's Staff Interpretive Guidance Process(PDF) Inspector General	Category:
Date: March 8, 2007	Title: Report Concerning Examinations of Options Order Routing and Execution(PDF)	Category: Special Studies
Date: March 1, 2007	Title: Select SEC and Market Data 2006(PDF)	Category: Select SEC and Market Data
Date: Feb. 8, 2007	Title: Enforcement Performance Management(PDF) Inspector General	Category:
Date: Feb. 5, 2007	Title: 2008 Performance Budget(PDF)	Category: Budget Reports
Date: Feb. 5, 2007	Title: Beginners' Guide to Financial Statement	Category: Investor Publications
Date: Feb. 5, 2007	Title: Congressional Justification FY 2008(PDF)	Category: Budget Reports
Date: Jan. 25, 2007	Title: Report on Administrative Proceedings for Period April 1, 2005 through September 30, 2005(PDF)	Category: Special Studies
Date: Jan. 25, 2007	Title: Report on Administrative Proceedings for Period April 1, 2006 through September 30, 2006(PDF)	Category: Special Studies
Date: Jan. 25, 2007	Title: Report on Administrative Proceedings for Period October 1, 2005 through March 31, 2006(PDF)	Category: Special Studies
Date: Jan. 1, 2007	Title: 2007 Annual Report — Performance and Accountability Report	Category: Annual Reports
Date: Nov. 14, 2006	Title: Information Technology Management in Enforcement(PDF) Inspector General	Category:
Date: Oct. 31, 2006	Title: Semiannual Report to Congress: April 1, 2006 through September 30, 2006(PDF) Inspector General	Category:
Date: Oct. 15, 2006	Title: E-Government Act Implementation Updates: FY 2006 Update(PDF)	Category:
Date: Sept. 29, 2006	Title: IM Exemptive Application Processing(PDF) Inspector General	Category:
Date: Sept. 29, 2006	Title: Personnel Files(PDF) Inspector General	Category:
Date: Sept. 28, 2006	Title: Audit of Oversight of PCAOB(PDF) Inspector General	Category:
Date: Sept. 8, 2006	Title: OMB Exhibit 300 Reports FY 2008	Category: Budget Reports
Date: July 7, 2006	Title: 2006 Inventory(PDF)	Category: FAIR Act
Date: June 22, 2006	Title: Preliminary Review of Filings(PDF) Inspector General	Category:
Date: June 8, 2006	Title: Conflict of Interest Controls in Procurement(PDF) Inspector General	Category:
Date: April 28, 2006	Title: Semiannual Report to Congress: October 1, 2005 through March 31, 2006(PDF) Inspector General	Category:
Date: April 21, 2006	Title: Continuity of Operations Planning(PDF) Inspector General	Category:
Date: April 3, 2006	Title: Lump Sum Payouts: Questions You Should Ask Yourself Before You Invest a Dime	Category: Investor Publications
Date: March 24, 2006	Title: 2007 Performance Budget(PDF)	Category: Budget Reports
Date: March 5, 2006	Title: 2005 Report(PDF)	Category: Buy American Act
Date: March 1, 2006	Title: Select SEC and Market Data 2005(PDF)	Category: Select SEC and Market Data
Date: Feb. 27, 2006	Title: Auto-Surfing: What You Need to Kno	Category: Investor Publications
Date: Feb. 17, 2006	Title: Congressional Request FY 2007(PDF)	Category: Budget Reports
Date: Feb. 14, 2006	Title: Pacific Regional Office(PDF) Inspector General	Category:
Date: Jan. 27, 2006	Title: "Wrong Numbers" and Stock Tips on Your Answering Machine	Category: Investor Publications
Date: Jan. 25, 2006	Title: Disgorgements and Penalty Payments(PDF) Inspector General	Category:
Date: Jan. 1, 2006	Title: 2006 Annual Report — Performance and Accountability Report	Category: Annual Reports
Date: Oct. 31, 2005	Title: Semiannual Report to Congress: April 1, 2005 to September 30, 2005(PDF) Inspector General	Category:
Date: Oct. 17, 2005	Title: Worthless Stock: How to Avoid Doubling Your Losses	Category: Investor Publications
Date: Oct. 13, 2005	Title: Select SEC and Market Data 2004(PDF)	Category: Select SEC and Market Data
Date: Sept. 30, 2005	Title: IT Security Certification and Accreditation Process(PDF) Inspector General	Category:
Date: Sept. 30, 2005	Title: Security Certification and Accreditation of EFOIA(PDF) Inspector General	Category:
Date: Sept. 20, 2005	Title: Office of the Secretary(PDF) Inspector General	Category:
Date: Aug. 26, 2005	Title: Recruitment, Classification, and Staffing(PDF) Inspector General	Category:
Date: July 14, 2005	Title: Operations Center Building Security(PDF) Inspector General	Category:
Date: July 12, 2005	Title: 2005 Inventory(PDF)	Category: FAIR Act
Date: June 1, 2005	Title: Selecting and Monitoring Pension Consultants: Tips for Plan Fiduciaries	Category: Investor Publications
Date: May 31, 2005	Title: Field Offices' Integrity Program(PDF) Inspector General	Category:
Date: April 29, 2005	Title: Semiannual Report to Congress: October 1, 2004 to March 31, 2005(PDF) Inspector General	Category:
Date: April 20, 2005	Title: Day Trading: Your Dollars at Risk	Category: Investor Publications
Date: April 11, 2005	Title: "High Yields" and Hot Air	Category: Investor Publications
Date: April 7, 2005	Title: 2006 Performance Budget(PDF)	Category: Budget Reports
Date: March 29, 2005	Title: Planning Investment Management Filing Reviews(PDF) Inspector General	Category:
Date: March 24, 2005	Title: Software Management(PDF) Inspector General	Category:
Date: Feb. 15, 2005	Title: Congressional Request FY 2006(PDF)	Category: Budget Reports
Date: Jan. 18, 2005	Title: Mutual Fund Proxy Voting Records and Policies	Category: Investor Publications
Date: Jan. 11, 2005	Title: Pump&Dump.con: Tips for Avoiding Stock Scams on the Internet	Category: Investor Publications
Date: Jan. 11, 2005	Title: Risky Business: "Pre-IPO [Initial Public Offering]" Investing	Category: Investor Publications
Date: Jan. 1, 2005	Title: 2005 Annual Report — Performance and Accountability Report	Category: Annual Reports
Date: Dec. 20, 2004	Title: Midwest Regional Office(PDF) Inspector General	Category:
Date: Dec. 20, 2004	Title: Northeast Regional Office(PDF) Inspector General	Category:
Date: Dec. 3, 2004	Title: Forth Worth District Office(PDF) Inspector General	Category:
Date: Dec. 2, 2004	Title: Salt Lake District Office(PDF) Inspector General	Category:
Date: Oct. 29, 2004	Title: Semiannual Report to Congress: April 1, 2004 to September 30, 2004(PDF) Inspector General	Category:
Date: Sept. 30, 2004	Title: Atlanta District Office(PDF) Inspector General	Category:
Date: Sept. 29, 2004	Title: Targeting IA/IC Compliance Examinations(PDF) Inspector General	Category:
Date: Sept. 14, 2004	Title: Disclosure Filings Examination and Accounting Reports(PDF) Inspector General	Category:
Date: Sept. 13, 2004	Title: Document Imaging System(PDF) Inspector General	Category:
Date: Sept. 10, 2004	Title: Federal Information Security Management Act(PDF) Inspector General	Category:
Date: July 12, 2004	Title: 2004 Inventory(PDF)	Category: FAIR Act
Date: June 29, 2004	Title: Office of Economic Analysis(PDF) Inspector General	Category:
Date: June 25, 2004	Title: Independent Evaluation And Assessment of Internal Control for Contract Oversight(PDF) Inspector General	Category:
Date: June 9, 2004	Title: Variable Annuities and Variable Life Products: Questions to Ask	Category: Investor Publications
Date: May 21, 2004	Title: About Settling Trades In Three Days: Introducing T+3	Category: Investor Publications
Date: April 15, 2004	Title: Enterprise Architecture(PDF) Inspector General	Category:
Date: March 31, 2004	Title: Inappropriate Release of Non-Public Information(PDF) Inspector General	Category:
Date: March 31, 2004	Title: Lost and Stolen Securities Program(PDF) Inspector General	Category:
Date: March 31, 2004	Title: Semiannual Report to Congress: October 1, 2003 to March 31, 2004 Inspector General	Category:
Date: March 29, 2004	Title: Commission Responses to Investor Inquiries(PDF) Inspector General	Category:
Date: March 29, 2004	Title: Commission Work/Life Program(PDF) Inspector General	Category:
Date: March 29, 2004	Title: IT Capital Investment Decision-Making Follow-Up(PDF) Inspector General	Category:
Date: March 29, 2004	Title: Planning the Enforcement of Full Disclosure Rules(PDF) Inspector General	Category:
Date: March 29, 2004	Title: Priority to Rural Areas for New Offices(PDF) Inspector General	Category:
Date: March 29, 2004	Title: Small Business Regulation D Exemption Process(PDF) Inspector General	Category:
Date: Feb. 12, 2004	Title: Central Regional Office(PDF) Inspector General	Category:
Date: Feb. 10, 2004	Title: Commission-Wide Use of X-Ray Scanners(PDF) Inspector General	Category:
Date: Jan. 22, 2004	Title: Discounted Airfare Tickets(PDF) Inspector General	Category:
Date: Jan. 1, 2004	Title: 2004 Annual Report — Performance and Accountability Report	Category: Annual Reports
Date: Nov. 17, 2003	Title: Telephone Calling Card Program(PDF) Inspector General	Category:
Date: Nov. 17, 2003	Title: Unclaimed Commission Property(PDF) Inspector General	Category:
Date: Oct. 20, 2003	Title: Regulation of Public Utility Holding Companies(PDF) Inspector General	Category:
Date: Sept. 30, 2003	Title: Semiannual Report to Congress: April 1, 2003 to September 30, 2003 Inspector General	Category:
Date: Sept. 29, 2003	Title: Implications of the Growth of Hedge Funds(PDF) Investment Management	Category: Special Studies
Date: Sept. 29, 2003	Title: Report of Changes in Independent Accountants Inspector General	Category:
Date: Sept. 25, 2003	Title: San Francisco District Office Inspector General	Category:
Date: Sept. 23, 2003	Title: Compliance Examination Deficiency Letter Process Inspector General	Category:
Date: Aug. 21, 2003	Title: Contract for Temporary Clerical Services Inspector General	Category:
Date: July 31, 2003	Title: SEC Recreation and Welfare Association Financial Management Inspector General	Category:
Date: July 12, 2003	Title: 2003 Inventory(PDF)	Category: FAIR Act
Date: June 24, 2003	Title: Updated Personnel Guidance Inspector General	Category:
Date: June 19, 2003	Title: Priority to Location of New Offices in Rural Areas Inspector General	Category:
Date: May 13, 2003	Title: Boston District Office Inspector General	Category:
Date: May 13, 2003	Title: Statutory Disqualification Review Process Inspector General	Category:
Date: May 13, 2003	Title: Southeast Regional Office Inspector General	Category:
Date: April 29, 2003	Title: Facility Access Control Systems Inspector General	Category:
Date: March 31, 2003	Title: Semiannual Report to Congress: October 1, 2002 to March 31, 2003 Inspector General	Category:
Date: March 17, 2003	Title: Deterring Securities Recidivism Inspector General	Category:
Date: March 4, 2003	Title: Holding Your Securities - Get the Facts	Category: Investor Publications
Date: Jan. 31, 2003	Title: Bankruptcy Program Inspector General	Category:
Date: Jan. 31, 2003	Title: Independent Accountant's Report Inspector General	Category:
Date: Jan. 29, 2003	Title: Password Management for the Name Relationship Search Inquiry (NRSI) System Inspector General	Category:
Date: Jan. 27, 2003	Title: Market Contingency Preparedness Inspector General	Category:
Date: Jan. 24, 2003	Title: Philadelphia District Office Inspector General	Category:
Date: Jan. 15, 2003	Title: Edgar Utility to Commission Staff Inspector General	Category:
Date: Jan. 13, 2003	Title: Enforcement Internet Program Inspector General	Category:
Date: Jan. 1, 2003	Title: 2003 Annual Report	Category: Annual Reports
Date: Dec. 16, 2002	Title: Administration of Information Technology Contracts Inspector General	Category:
Date: Nov. 25, 2002	Title: Purchase Cards Inspector General	Category:
Date: Sept. 30, 2002	Title: Continuity of Operations Planning (COOP) Inspector General	Category:
Date: Sept. 30, 2002	Title: Semiannual Report to Congress: April 1, 2002 to September 30, 2002 Inspector General	Category:
Date: Sept. 10, 2002	Title: Program Officials' Information Security Responsibilities Inspector General	Category:
Date: Aug. 28, 2002	Title: Commission Web Security Inspector General	Category:
Date: Aug. 19, 2002	Title: Regional Telecommunication Security Inspector General	Category:
Date: Aug. 14, 2002	Title: Collection of Filing Fees Inspector General	Category:
Date: Aug. 13, 2002	Title: Broker-Dealer Risk Assessment Program Inspector General	Category:
Date: Aug. 8, 2002	Title: Travel Management Inspector General	Category:
Date: July 12, 2002	Title: Rulemaking Process Inspector General	Category:
Date: July 12, 2002	Title: 2002 Inventory(PDF)	Category: FAIR Act
Date: July 7, 2002	Title: Security of External Databases Inspector General	Category:
Date: June 24, 2002	Title: All About Auditors	Category: Investor Publications
Date: June 4, 2002	Title: Recreation and Welfare Association's - Individual Employee Parking Program Inspector General	Category:
Date: March 31, 2002	Title: Semiannual Report to Congress: October 1, 2001 to March 31, 2002 Inspector General	Category:
Date: March 29, 2002	Title: GPRA Performance Reports Inspector General	Category:
Date: March 28, 2002	Title: Priority to Location of New Offices in Rural Areas Inspector General	Category:
Date: March 8, 2002	Title: Sensitive Information Follow-Up Inspector General	Category:
Date: March 7, 2002	Title: Commission Oversight of NAFI Inspector General	Category:
Date: Feb. 14, 2002	Title: Pacific Regional Office Inspector General	Category:
Date: Feb. 4, 2002	Title: Printing and Publications Summary Inspector General	Category:
Date: Jan. 30, 2002	Title: CATS2000 Data Inspector General	Category:
Date: Jan. 22, 2002	Title: Information Technology Project Management Inspector General	Category:
Date: Jan. 1, 2002	Title: 2002 Annual Report	Category: Annual Reports
Date: Nov. 16, 2001	Title: Fort Worth District Office Inspector General	Category:
Date: Oct. 31, 2001	Title: Semiannual Report to Congress: April 1, 2001 to September 30, 2001(PDF) Inspector General	Category:
Date: Sept. 21, 2001	Title: Broker-Dealer Registration Process(PDF) Inspector General	Category:
Date: Sept. 5, 2001	Title: Salt Lake City District Office(PDF) Inspector General	Category:
Date: Aug. 18, 2001	Title: IT Decision Making Process(PDF) Inspector General	Category:
Date: Aug. 15, 2001	Title: Comment Letter Follow-Up(PDF) Inspector General	Category:
Date: Aug. 13, 2001	Title: Contractor Background Investigations(PDF) Inspector General	Category:
Date: Aug. 13, 2001	Title: Security of Personnel Data Files(PDF) Inspector General	Category:
Date: Aug. 13, 2001	Title: Staff Background Investigations(PDF) Inspector General	Category:
Date: July 12, 2001	Title: 2001 Inventory	Category: FAIR Act
Date: June 28, 2001	Title: Compliance Inspection and Examination Referrals to Enforcement(PDF) Inspector General	Category:
Date: May 31, 2001	Title: Real Property Leasing(PDF) Inspector General	Category:
Date: April 30, 2001	Title: Semiannual Report to Congress: October 1, 2000 to March 31, 2001(PDF) Inspector General	Category:
Date: March 23, 2001	Title: FOIA Process(PDF) Inspector General	Category:
Date: March 1, 2001	Title: Stock Market Fraud "Survivor" Checklist	Category: Investor Publications
Date: Feb. 23, 2001	Title: Integrity Program(PDF) Inspector General	Category:
Date: Jan. 17, 2001	Title: Central Regional Office(PDF) Inspector General	Category:
Date: Jan. 5, 2001	Title: Distribution of Mail(PDF) Inspector General	Category:
Date: Jan. 1, 2001	Title: 2001 Annual Report	Category: Annual Reports
Date: Dec. 1, 2000	Title: Report on Mutual Fund Fees and Expenses Investment Management	Category: Special Studies
Date: Oct. 31, 2000	Title: Semiannual Report to Congress: April 1, 2000 to September 30, 2000(PDF) Inspector General	Category:
Date: Sept. 29, 2000	Title: Clearance Process(PDF) Inspector General	Category:
Date: Sept. 28, 2000	Title: Investment Management No-Action and Interpretive Letters(PDF) Inspector General	Category:
Date: Sept. 22, 2000	Title: Audit Follow-Up Procedures(PDF) Inspector General	Category:
Date: Sept. 22, 2000	Title: Payroll Conversion(PDF) Inspector General	Category:
Date: Aug. 1, 2000	Title: Office of Municipal Securities(PDF) Inspector General	Category:
Date: June 23, 2000	Title: Commissioners' Travel(PDF) Inspector General	Category:
Date: April 28, 2000	Title: Semiannual Report to Congress: October 1, 1999 to March 31, 2000(PDF) Inspector General	Category:
Date: April 25, 2000	Title: Investor Education And Assistance Program(PDF) Inspector General	Category:
Date: April 21, 2000	Title: Travel Vouchers(PDF) Inspector General	Category:
Date: March 31, 2000	Title: Oversight of Securities Investor Protection Corporation(PDF) Inspector General	Category:
Date: March 31, 2000	Title: PBX and Analog Lines Security Assessment(PDF) Inspector General	Category:
Date: March 31, 2000	Title: Training(PDF) Inspector General	Category:
Date: March 30, 2000	Title: Edgar Hardship Exemptions(PDF) Inspector General	Category:
Date: March 17, 2000	Title: Benchmarking Commission Procedures(PDF) Inspector General	Category:
Date: March 9, 2000	Title: Data Back-Up Procedures(PDF) Inspector General	Category:
Date: Feb. 23, 2000	Title: Review of Periodic Reports(PDF) Inspector General	Category:
Date: Jan. 1, 2000	Title: 2000 Annual Report	Category: Annual Reports
Date: Dec. 10, 1999	Title: Year 2000 Certification & Contingency Planning Activities(PDF) Inspector General	Category:
Date: Nov. 18, 1999	Title: Investor and Small Business Town Meetings(PDF) Inspector General	Category:
Date: Oct. 29, 1999	Title: Midwest Regional Office(PDF) Inspector General	Category:
Date: Oct. 29, 1999	Title: Semiannual Report to Congress: April 1, 1999 to September 30, 1999(PDF) Inspector General	Category:
Date: Sept. 21, 1999	Title: Procurement and Contracting(PDF) Inspector General	Category:
Date: Sept. 14, 1999	Title: Unix Security(PDF) Inspector General	Category:
Date: Aug. 26, 1999	Title: Advance Commitment Program(PDF) Inspector General	Category:
Date: Aug. 24, 1999	Title: Oversight of Self-Regulatory Organization Arbitration(PDF) Inspector General	Category:
Date: July 19, 1999	Title: Reporting the Case Origins of Enforcement Investigations(PDF) Inspector General	Category:
Date: June 8, 1999	Title: Acknowledgment Letters for the Branch of Public Reference(PDF) Inspector General	Category:
Date: June 8, 1999	Title: Commissioners' Travel(PDF) Inspector General	Category:
Date: May 27, 1999	Title: Help Desk(PDF) Inspector General	Category:
Date: May 3, 1999	Title: Survey of Sensitive Information(PDF) Inspector General	Category:
Date: March 31, 1999	Title: Semiannual Report to Congress: October 1, 1998 to March 31, 1999 Inspector General	Category:
Date: March 30, 1999	Title: A Plain English Handbook: How to Create Clear SEC Disclosure Documents	Category: Investor Publications
Date: March 18, 1999	Title: Enforcement Action Memoranda Inspector General	Category:
Date: Jan. 1, 1999	Title: 1999 Annual Report	Category: Annual Reports
Date: Dec. 29, 1998	Title: Philadelphia District Office Inspector General	Category:
Date: Oct. 27, 1998	Title: International Technical Assistance Inspector General	Category:
Date: Oct. 23, 1998	Title: Boston District Office Inspector General	Category:
Date: Sept. 30, 1998	Title: Semiannual Report to Congress: April 1, 1998 to September 30, 1998 Inspector General	Category:
Date: Aug. 24, 1998	Title: Year 2000 Compliance Efforts Inspector General	Category:
Date: Aug. 24, 1998	Title: GPRA Performance Measures Inspector General	Category:
Date: July 14, 1998	Title: Commission Review of SRO Rules Inspector General	Category:
Date: June 26, 1998	Title: Review of Investment Company Filings Inspector General	Category:
Date: June 5, 1998	Title: Travel Upgrades Inspector General	Category:
Date: May 26, 1998	Title: Commissioners' Travel Inspector General	Category:
Date: May 18, 1998	Title: Oversight of SRO Automation Inspector General	Category:
Date: March 31, 1998	Title: Semiannual Report to Congress: October 1, 1997 to March 31, 1998 Inspector General	Category:
Date: March 30, 1998	Title: Fort Worth District Office Inspector General	Category:
Date: March 30, 1998	Title: Payroll System Inspector General	Category:
Date: March 30, 1998	Title: San Francisco District Office Inspector General	Category:
Date: March 18, 1998	Title: Compliance Inspections and Examinations Inspector General	Category:
Date: Feb. 2, 1998	Title: Comment Letter Process Inspector General	Category:
Date: Jan. 13, 1998	Title: Northeast Regional Office Inspector General	Category:
Date: Jan. 5, 1998	Title: Audit of Database Administration Inspector General	Category:
Date: Jan. 1, 1998	Title: 1998 Annual Report(PDF)	Category: Annual Reports
Date: Sept. 30, 1997	Title: Commercial Credit Card Program Inspector General	Category:
Date: Sept. 30, 1997	Title: Semiannual Report to Congress: April 1, 1997 to September 30, 1997 Inspector General	Category:
Date: Sept. 29, 1997	Title: Automation of Records Management Inspector General	Category:
Date: Sept. 20, 1997	Title: Salt Lake District Office Inspector General	Category:
Date: Sept. 9, 1997	Title: Client Server Inspector General	Category:
Date: Sept. 9, 1997	Title: Commission Integrity Program Inspector General	Category:
Date: July 18, 1997	Title: Central Regional Office Administrative and Financial Controls Inspector General	Category:
Date: May 2, 1997	Title: Value Engineering (VE) Program Inspector General	Category:
Date: March 31, 1997	Title: Semiannual Report to Congress: October 1, 1996 to March 31, 1997 Inspector General	Category:
Date: March 21, 1997	Title: Atlanta District Office Administrative and Financial Controls Inspector General	Category:
Date: March 20, 1997	Title: Office of Filings & Information Services Inspector General	Category:
Date: March 6, 1997	Title: SECOA Local Area Network Inspector General	Category:
Date: Feb. 12, 1997	Title: Space Management - Operations Center and Annex Inspector General	Category:
Date: Feb. 7, 1997	Title: Survey of the Economic Analysis Program Inspector General	Category:
Date: Jan. 22, 1997	Title: Enhancing Excellence - Integrity Program Inspector General	Category:
Date: Jan. 7, 1997	Title: Enforcement Surveillance of Markets Inspector General	Category:
Date: Jan. 1, 1997	Title: 1997 Annual Report(PDF)	Category: Annual Reports
Date: Nov. 2, 1996	Title: Equal Employment Opportunity Office Inspector General	Category:
Date: Oct. 15, 1996	Title: Regulation of Insurance Products Inspector General	Category:
Date: Sept. 30, 1996	Title: Headquarters Fitness Center Inspector General	Category:
Date: Sept. 30, 1996	Title: Semiannual Report to Congress: April 1, 1996 to September 30, 1996 Inspector General	Category:
Date: Sept. 9, 1996	Title: Survey of Reported Management Control Weaknesses Inspector General	Category:
Date: Aug. 27, 1996	Title: International Telephone Service Inspector General	Category:
Date: Aug. 21, 1996	Title: Transportation Subsidy Program Inspector General	Category:
Date: Aug. 1, 1996	Title: Selection of Filings for Review Inspector General	Category:
Date: May 15, 1996	Title: Enforcement Administrative Functions Inspector General	Category:
Date: May 9, 1996	Title: Information Technology Cost Savings Inspector General	Category:
Date: March 31, 1996	Title: Semiannual Report to Congress: October 1, 1995 to March 31, 1996 Inspector General	Category:
Date: March 29, 1996	Title: 40 Act Exemptive Applications Inspector General	Category:
Date: March 26, 1996	Title: IRM Planning and Execution Inspector General	Category:
Date: Feb. 8, 1996	Title: Collection of Filing Fees Inspector General	Category:
Date: Feb. 1, 1996	Title: Interagency Agreements Inspector General	Category:
Date: Jan. 1, 1996	Title: 1996 Annual Report(PDF)	Category: Annual Reports
Date: Sept. 30, 1995	Title: Semiannual Report to Congress: April 1, 1995 to September 30, 1995 Inspector General	Category:
Date: Sept. 20, 1995	Title: Controls of Negotiated Settlements Inspector General	Category:
Date: July 31, 1995	Title: Contingency Plans for PABX and Datacenter Inspector General	Category:
Date: June 15, 1995	Title: Survey of Personnel Management Inspector General	Category:
Date: March 31, 1995	Title: Semiannual Report to Congress: October 1, 1994 to March 31, 1995 Inspector General	Category:
Date: Feb. 9, 1995	Title: Market Contingency Preparedness Inspector General	Category:
Date: Feb. 7, 1995	Title: Survey of Information Technology Inspector General	Category:
Date: Feb. 2, 1995	Title: 1995 Audit of Midwest Regional Office Inspector General	Category:
Date: Jan. 17, 1995	Title: Contractor Lobbying Statute - 1994 Inspector General	Category:
Date: Jan. 1, 1995	Title: 1995 Annual Report(PDF)	Category: Annual Reports
Date: Dec. 31, 1994	Title: 1995 Audit on Southeast Regional Office Inspector General	Category:
Date: Dec. 28, 1994	Title: Office of Space Renovation Inspector General	Category:
Date: Dec. 12, 1994	Title: 1995 Audit on Filing Activity Tracking System Inspector General	Category:
Date: Sept. 30, 1994	Title: Semiannual Report to Congress: April 1, 1994 to September 30, 1994 Inspector General	Category:
Date: March 31, 1994	Title: Semiannual Report to Congress: October 1, 1993 to March 31, 1994 Inspector General	Category:
Date: Jan. 1, 1994	Title: 1994 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1993	Title: 1993 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1992	Title: 1992 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1991	Title: 1991 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1990	Title: 1990 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1989	Title: 1989 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1988	Title: 1988 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1987	Title: 1987 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1986	Title: 1986 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1985	Title: 1985 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1984	Title: 1984 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1983	Title: 1983 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1982	Title: 1982 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1981	Title: 1981 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1980	Title: 1980 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1979	Title: 1979 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1978	Title: 1978 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1977	Title: 1977 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1976	Title: 1976 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1975	Title: 1975 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1974	Title: 1974 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1973	Title: 1973 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1972	Title: 1972 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1971	Title: 1971 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1970	Title: 1970 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1969	Title: 1969 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1968	Title: 1968 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1967	Title: 1967 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1966	Title: 1966 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1965	Title: 1965 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1964	Title: 1964 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1963	Title: 1963 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1962	Title: 1962 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1961	Title: 1961 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1960	Title: 1960 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1959	Title: 1959 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1958	Title: 1958 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1957	Title: 1957 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1956	Title: 1956 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1955	Title: 1955 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1954	Title: 1954 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1953	Title: 1953 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1952	Title: 1952 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1951	Title: 1951 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1950	Title: 1950 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1949	Title: 1949 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1948	Title: 1948 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1947	Title: 1947 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1946	Title: 1946 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1945	Title: 1945 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1944	Title: 1944 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1943	Title: 1943 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1942	Title: 1942 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1941	Title: 1941 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1940	Title: 1940 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1939	Title: 1939 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1938	Title: 1938 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1937	Title: 1937 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1936	Title: 1936 Annual Report(PDF)	Category: Annual Reports
Date: Jan. 1, 1935	Title: 1935 Annual Report(PDF)	Category: Annual Reports