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Reports and Publications

Reports and Publications

 
This listing includes common periodic SEC reports.

Note: For periodic FOIA reports on Alternative Trading Systems, Fails-to-Deliver Data, Registered Investment Advisers and Broker Dealers, see Frequently Requested FOIA Documents. For occasional reports on current trends and issues facing the securities industry, see SEC Special Studies.
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Date Title Category
Aug. 13, 2015 Annual Staff Report Relating to the Use of Data Collected from Private Fund Systemic Risk Reports (PDF)
Investment Management
Special Studies
Aug. 7, 2015 Interim Report of Investigation, Administrative Law Judges, 15-ALJ-0482-I (PDF)
Inspector General
July 13, 2015 Joint Staff Report: The U.S. Treasury Market on October 15, 2014 (PDF) Special Studies
July 6, 2015 Evaluation of the SEC’s Use of the Reserve Fund (PDF)
Inspector General
June 30, 2015 Office of the Investor Advocate Report on Objectives for FY 2016 (PDF)
Investor Advocate
Annual Reports
May 27, 2015 Semiannual Management Report (May 2015) (PDF)
May 26, 2015 Semiannual Report to Congress: October 1, 2014, through March 31, 2015 (PDF)
Inspector General
May 20, 2015 Observations Noted During TCR System Audit Support Engagement (PDF)
Inspector General
April 30, 2015 Report on Administrative Proceedings For the Period October 1, 2014 through March 31, 2015 (PDF) Special Studies
April 15, 2015 OCIE-FINRA Report on National Senior Investor Initiative (PDF)
Compliance Inspections and Examinations
April 10, 2015 Annual Equal Employment Opportunity Program Status Report 2014 (PDF)
Equal Employment Opportunity
April 6, 2015 SEC OMWI FY 2014 Annual Report to Congress (PDF)
Minority and Women Inclusion
Annual Reports
Feb. 24, 2015 Results of Inspector General’s Fiscal Year 2014 Purchase Card Program Risk Assessment, February 24, 2015 (PDF)
Inspector General
Feb. 12, 2015 Summary of Performance and Financial Information, Fiscal Year 2014 (PDF) Annual Reports
Feb. 5, 2015 Federal Information Security Management Act: Fiscal Year 2014 Evaluation, Report No. 529 (PDF)
Inspector General
Feb. 2, 2015 FY 2016 Congressional Justification & FY 2014 Annual Performance Report and FY 2016 Annual Performance Plan Budget Reports
Jan. 21, 2015 Inspector General's Review of the SEC’s FY 2014 Compliance with the Improper Payments Information Act January 21, 2015 (PDF)
Inspector General
Jan. 13, 2015 Inspector General’s FY 2014 Letter to OMB on SEC’s Implementation of Purchase Card Program Audit Recommendations (PDF)
Inspector General
Dec. 23, 2014 2014 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (PDF)
Credit Ratings
Special Studies
Dec. 23, 2014 Annual Report to Congress - June 26, 2013 – June 25, 2014 (PDF)
Credit Ratings
Annual Reports
Dec. 23, 2014 Office of the Investor Advocate FY 2014 Report on Activities (PDF)
Investor Advocate
Dec. 22, 2014 2014 Report and Certification (PDF)
Corporation Finance
Compliance Inspections and Examinations
Credit Ratings
Enforcement
Internal Supervisory Controls
Dec. 10, 2014 Audit of the Office of the Ethics Counsel’s Oversight of Employee Securities Holdings (PDF)
Inspector General
Dec. 2, 2014 Semiannual Management Report (November 2014) (PDF)
Nov. 25, 2014 Semiannual Report to Congress: April 1, 2014 through September 30, 2014 (PDF)
Inspector General
Nov. 20, 2014 Audit of the Representation of Minorities and Women in the SEC’s Workforce (PDF)
Inspector General
Nov. 17, 2014 Fiscal Year 2014 Agency Financial Report Annual Reports
Oct. 29, 2014 Report on Administrative Proceedings for the Period April 1, 2014 through September 30, 2014 (PDF) Special Studies
Sept. 30, 2014 Analysis of the SEC’s Compliance with Conference Approval and Reporting Requirements for Fiscal Year 2014 (PDF)
Inspector General
Sept. 22, 2014 Controls Over the SEC’s Inventory of Laptop Computers (PDF)
Inspector General
Aug. 18, 2014 2014 Inventory (PDF) FAIR Act
Aug. 15, 2014 Annual Staff Report Relating to the Use of Data Collected from Private Fund Systemic Risk Reports (PDF) Special Studies
Aug. 1, 2014 Audit of the SEC’s Physical Security Program, Report No. 523 (PDF)
Inspector General
July 7, 2014 Staff Observations of Custom Tag Rates
Economic and Risk Analysis
June 30, 2014 Report on Objectives - Office of the Investor Advocate (PDF) Annual Reports
June 5, 2014 Short Sale Position and Transaction Reporting (PDF)
Economic and Risk Analysis
Special Studies
June 3, 2014 Review of the SEC’s Practices for Sanitizing Digital Information System Media (PDF)
Inspector General
May 23, 2014 Semiannual Management Report (May 2014) (PDF)
May 23, 2014 Semiannual Report to Congress, October 1, 2013, through March 31, 2014 (PDF)
Inspector General
April 30, 2014 Report on Administrative Proceedings For the Period October 1, 2013 through March 31, 2014 (PDF) Special Studies
April 18, 2014 SEC OMWI FY 2013 Annual Report to Congress (PDF)
Minority and Women Inclusion
Annual Reports
April 4, 2014 Federal Information Security Management Act: Fiscal Year 2013 Evaluation (PDF)
Inspector General
April 2, 2014 Controls Over the SEC’s Government Purchase Card Program, Report No. 517 (PDF)
Inspector General
March 14, 2014 2013: Division of Investment Management Year in Review (PDF)
Investment Management
Annual Reports
March 7, 2014 FY 2015 Congressional Justification and Performance Plan & FY 2013 Annual Performance Report Budget Reports
Feb. 27, 2014 Q&A: Small Business and the SEC Investor Publications
Feb. 19, 2014 Identity Theft: Learn How To Protect Yourself Investor Publications
Feb. 19, 2014 Understanding Investment Professional Designations (tips from FINRA) Investor Publications
Feb. 13, 2014 List of Exhibits to Report of Investigation (DOC)
Inspector General
Jan. 27, 2014 Inspector General's FY 2013 Letter to OMB on SEC's Implementation of Purchase Card Program Audit Recommendations (PDF)
Inspector General
Jan. 12, 2014 Beginners' Guide to Financial Statements
Investor Education and Advocacy
Investor Publications
Dec. 24, 2013 2013 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (PDF) Special Studies
Dec. 20, 2013 JOBS Act Section 108 Report to Congress on Review of Disclosure Requirements in Regulation S-K (PDF) Special Studies
Dec. 17, 2013 2013 Report and Certification (PDF)
Enforcement
Credit Ratings
Compliance Inspections and Examinations
Corporation Finance
Internal Supervisory Controls
Dec. 16, 2013 2013 Agency Financial Report Annual Reports
Dec. 1, 2013 Annual Report to Congress - June 26, 2012 to June 25, 2013 (PDF)
Credit Ratings
Annual Reports
Nov. 27, 2013 Semiannual Management Report (PDF)
Nov. 21, 2013 Report to Congress on Credit Rating Agency Independence Study (PDF) Special Studies
Nov. 18, 2013 2013 Annual Report on the Dodd-Frank Whistleblower Program (PDF)
Whistleblower
Annual Reports
Oct. 30, 2013 Report on Administrative Proceedings for the Period April 1, 2013 through September 30, 2013 (PDF) Special Studies
Oct. 9, 2013 Affinity Fraud: How to Avoid Investment Scams That Target Group Investor Publications
Oct. 2, 2013 HSPD-12 Implementation Status Report (Personal Identification Verification (PIV) Credentials) (PDF)
Sept. 30, 2013 Semiannual Report to Congress: April 1, 2013 through September 30, 2013 (PDF)
Inspector General
Sept. 18, 2013 Microcap Stock: A Guide for Investors Investor Publications
Sept. 5, 2013 "Phishing" Fraud: How to Avoid Getting Fried by Phony Phishermen Investor Publications
Sept. 3, 2013 Library of Congress Office of Inspector General System Review Report (PDF)
Inspector General
Aug. 7, 2013 2013 Inventory (PDF) FAIR Act
July 25, 2013 Annual Staff Report Relating to the Use of Data Collected from Private Fund Systemic Risk Reports (PDF) Special Studies
June 6, 2013 Use of the Current Guidance on Economic Analysis in SEC Rulemakings (PDF)
Inspector General
June 6, 2013 Implementation of the Current Guidance on Economic Analysis in SEC Rulemakings (PDF)
Inspector General
April 30, 2013 Report on Administrative Proceedings for the Period October 1, 2012 through March 31, 2013 (PDF) Special Studies
April 30, 2013 Fourth Report on the Implementation of SEC Organizational Reform Recommendations (PDF) Special Studies
April 24, 2013 Office of Minority and Women Inclusion Annual Report (PDF) Annual Reports
April 19, 2013 A Guide for Seniors: Protect Yourself Against Investment Fraud (PDF) Investor Publications
April 10, 2013 FY 2014 Congressional Justification and Performance Plan & FY 2012 Annual Performance Report Budget Reports
March 31, 2013 Semiannual Report to Congress: October 1, 2012 through March 31, 2013 (PDF)
Inspector General
March 29, 2013 2012 FISMA Executive Summary (PDF)
Inspector General
March 29, 2013 Audit of the SEC's Filing Fees Program (PDF)
Inspector General
March 29, 2013 Audit of SEC's Controls over Support Service, Expert and Consulting Service Contracts (PDF)
Inspector General
March 27, 2013 Review of the SEC's Systems Certification and Accreditation Process (PDF)
Inspector General
March 25, 2013 SEC's Controls Over Sensitive/Nonpublic Information Collected and Exchanged With the Financial Stability Oversight Council and Office of Financial Research, Report (PDF)
Inspector General
Feb. 6, 2013 Select SEC and Market Data 2012 (PDF)
Jan. 31, 2013 SEC FY 2012 Conference Spending (PDF) Annual Reports
Jan. 18, 2013 Evaluation of the SEC's Whistleblower Program (PDF)
Inspector General
Jan. 16, 2013 Trade Execution: What Every Investor Should Know Investor Publications
Jan. 16, 2013 Investment Clubs and the SEC Investor Publications
Jan. 16, 2013 Rule 144: Selling Restricted and Control Securities Investor Publications
Dec. 19, 2012 2012 Report and Certification (PDF) Internal Supervisory Controls
Dec. 18, 2012 Assigned Credit Ratings (PDF) Special Studies
Dec. 4, 2012 Researching the Federal Securities Laws Through the SEC Website Investor Publications
Dec. 1, 2012 Annual Report to Congress - June 26, 2011 to June 25, 2012 (PDF)
Credit Ratings
Annual Reports
Nov. 19, 2012 Investigation Into Misuse of Resources and Violations of Information Technology Security Policies Within the Division of Trading and Markets
Inspector General
Nov. 15, 2012 2012 Annual Report on the Dodd-Frank Whistleblower Program (PDF)
Whistleblower
Annual Reports
Nov. 15, 2012 2012 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (PDF) Special Studies
Oct. 25, 2012 Report on Administrative Proceedings for the Period April 1, 2012 through September 30, 2012 (PDF) Special Studies
Oct. 17, 2012 Third Report on the Implementation of SEC Organizational Reform Recommendations (PDF) Special Studies
Oct. 16, 2012 JOBS Act Section 504 Report on Authority to Enforce Exchange Act Rule 12g5-1 and Subsection (b)(3) (PDF) Special Studies
Sept. 30, 2012 The Office of International Affairs Internal Operations and Travel Oversight (PDF)
Inspector General
Sept. 30, 2012 SEC's Records Management Practices (PDF)
Inspector General
Sept. 30, 2012 Semiannual Report to Congress: April 1, 2012 through September 30, 2012 (PDF)
Inspector General
  
   Currently only the first 100 results are displayed. To view more results please select a filter.

Date

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)

Category: Annual Reports

Date: May 27, 2015

Title: Semiannual Management Report (May 2015) (PDF)

Category:

Date: April 6, 2015

Title: SEC OMWI FY 2014 Annual Report to Congress (PDF)

Category: Annual Reports

Date: Feb. 12, 2015

Title: Summary of Performance and Financial Information, Fiscal Year 2014 (PDF)

Category: Annual Reports

Date: Dec. 23, 2014

Title: Annual Report to Congress - June 26, 2013 – June 25, 2014 (PDF)

Category: Annual Reports

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: Fiscal Year 2014 Agency Financial Report

Category: Annual Reports

Date: Aug. 18, 2014

Title: 2014 Inventory (PDF)

Category: FAIR Act

Date: July 7, 2014

Title: Staff Observations of Custom Tag Rates

Category:

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)

Category: Special Studies

Date: May 23, 2014

Title: Semiannual Management Report (May 2014) (PDF)

Category:

Date: April 18, 2014

Title: SEC OMWI FY 2013 Annual Report to Congress (PDF)

Category: Annual Reports

Date: March 14, 2014

Title: 2013: Division of Investment Management Year in Review (PDF)

Category: Annual 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. 13, 2014

Title: List of Exhibits to Report of Investigation (DOC)

Category:

Date: Jan. 12, 2014

Title: Beginners' Guide to Financial Statements

Category: Investor Publications

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)

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)

Category: Annual Reports

Date: Oct. 9, 2013

Title: Affinity Fraud: How to Avoid Investment Scams That Target Group

Category: Investor Publications

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: 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: March 29, 2013

Title: 2012 FISMA Executive Summary (PDF)

Category:

Date: March 29, 2013

Title: Audit of the SEC's Filing Fees Program (PDF)

Category:

Date: Feb. 6, 2013

Title: Select SEC and Market Data 2012 (PDF)

Category:

Date: Jan. 31, 2013

Title: SEC FY 2012 Conference Spending (PDF)

Category: Annual Reports

Date: Jan. 18, 2013

Title: Evaluation of the SEC's Whistleblower Program (PDF)

Category:

Date: Jan. 16, 2013

Title: Trade Execution: What Every Investor Should Know

Category: Investor Publications

Date: Jan. 16, 2013

Title: Investment Clubs and the SEC

Category: Investor Publications

Date: Jan. 16, 2013

Title: Rule 144: Selling Restricted and Control Securities

Category: Investor Publications

Date: Dec. 19, 2012

Title: 2012 Report and Certification (PDF)

Category: Internal Supervisory Controls

Date: Dec. 18, 2012

Title: Assigned Credit Ratings (PDF)

Category: Special Studies

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)

Category: Annual Reports

Date: Nov. 15, 2012

Title: 2012 Annual Report on the Dodd-Frank Whistleblower Program (PDF)

Category: Annual Reports

Date: Sept. 30, 2012

Title: SEC's Records Management Practices (PDF)

Category:

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