This listing includes periodic SEC reports and publications. See also FOIA Frequently Requested Documents and SEC Data Resources for periodic data reports and updates. For occasional reports on current trends and issues facing the securities industry, choose “Special Studies” from the “Category” field below.

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Date
Title
Category
Date: Title: 2022 Small Business Forum Report (PDF)
Advocate for Small Business Capital Formation
Category: Annual Reports
Date: Title: Report on Security-Based Swaps (Based on Trade State Data for March 31, 2022) (PDF)
Trading and Markets
Category:
Date: Title: Office of the Investor Advocate Report on Objectives for Fiscal Year 2023 (PDF)
Investor Advocate
Category: Annual Reports
Date: Title: FAIR Inventory 2022 (PDF)
Category: FAIR Act
Date: Title: FY21 Annual No FEAR Act Report to Congress (PDF)
Equal Employment Opportunity
Category: Annual Reports
Date: Title: Semiannual Management Report (May 2022) (PDF)
Category:
Date: Title: 2020 OMWI Diversity Assessment Report (PDF)
Minority and Women Inclusion
Category:
Date: Title: Report on Administrative Proceedings for the Period October 1, 2021 through March 31, 2022 (PDF)
Secretary
Category: Special Studies
Date: Title: SEC OMWI FY 2021 Annual Report to Congress (PDF)
Minority and Women Inclusion
Category: Annual Reports
Date: Title: 2022 Examination Priorities (PDF)
Examinations
Category:
Date: Title: Fiscal Year 2023 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2021 Annual Performance Report
Category: Budget Reports
Date: Title: Staff Report on the Issues Affecting the Provision of and Reliance Upon Investment Research Into Small Issuers (PDF)
Category:
Date: Title: Study on Threshold Limits Applicable to Diversified Companies (PDF)
Category: Special Studies
Date: Title: Semiannual Management Report (November 2021) (PDF)
Category:
Date: Title: Staff Report on Nationally Recognized Statistical Rating Organizations (PDF)
Credit Ratings
Category:
Date: Title: 2021 Report and Certification of Internal Supervisory Controls (PDF)
Examinations
Category: Internal Supervisory Controls
Date: Title: 2021 Annual Report on Existing SEC Websites and Digital Services Pursuant to Section 3 of the 21st Century Integrated Digital Experience Act (PDF)
Category: Annual Reports
Date: Title: FY21 OIAD Report On Activities (PDF)
Investor Advocate
Category: Annual Reports
Date: Title: Response to Congress: Negative Net Equity Issuance (December 23, 2020) (PDF)
Economic and Risk Analysis
Category:
Date: Title: SEC FY 2021 Conference Spending (PDF)
Financial Management
Category: Conference Spending
Date: Title: 2021 OASB Annual Report (PDF)
Advocate for Small Business Capital Formation
Category: Annual Reports
Date: Title: Annual Staff Report Relating to the Use of Form PF Data (PDF)
Category: Special Studies
Date: Title: FY21 Enforcement Results (PDF)
Enforcement
Category: Annual Reports
Date: Title: 2021 Annual Report to Congress on the Dodd-Frank Whistleblower Program (PDF)
Whistleblower
Category: Annual Reports
Date: Title: 2021 Agency Financial Report
Category: Annual Reports
Date: Title: Rural Entrepreneurship and the Challenges Accessing Financial Capital: An Overview of Funding in Rural America (PDF)
Advocate for Small Business Capital Formation
Category:
Date: Title: Recent Disruptions and Potential Reforms in the U.S. Treasury Market: A Staff Progress Report (PDF)
Category: Special Studies
Date: Title: Report on Administrative Proceedings for the Period April 1, 2021 through September 30, 2021 (PDF)
Secretary
Category: Special Studies
Date: Title: FY 2019 Service Contract Inventory with Planned Analysis of FY 2020 Inventory (PDF)
Acquisitions
Category: Service Contract Inventory
Date: Title: FY 2019 Service Contract Inventory Analysis (PDF)
Acquisitions
Category: Service Contract Inventory
Date: Title: Staff Report on Equity and Options Market Structure Conditions in Early 2021 (PDF)
Trading and Markets
Category:
Date: Title: 2021 OASB Annual Forum Report (PDF)
Advocate for Small Business Capital Formation
Category: Annual Reports
Date: Title: Federal Employee Viewpoint Survey 2020 (XLSX)
Category: Federal Employee Viewpoint Survey
Date: Title: FY 2020 Report on Equal Employment Opportunity Programs (PDF)
Equal Employment Opportunity
Category:
Date: Title: FY 2020 SEC Affirmative Action Plan for Persons with Disabilities (PDF)
Equal Employment Opportunity
Category:
Date: Title: OASB Strategic Plan 2021-2025 (PDF)
Advocate for Small Business Capital Formation
Category: Strategic Plan
Date: Title: FY 2018 Service Contract Inventory with Planned Analysis of FY 2019 Inventory (PDF)
Acquisitions
Category: Service Contract Inventory
Date: Title: FY 2018 Service Contract Inventory Analysis (PDF)
Acquisitions
Category: Service Contract Inventory
Date: Title: Office of the Investor Advocate Report on Objectives for Fiscal Year 2022 (PDF)
Investor Advocate
Category: Annual Reports
Date: Title: FAIR Inventory 2021 (PDF)
Category: FAIR Act
Date: Title: Semiannual Management Report (May 2021) (PDF)
Category:
Date: Title: Fiscal Year 2022 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2020 Annual Performance Report
Category: Budget Reports
Date: Title: FY20 Annual No FEAR Act Report to Congress (PDF)
Equal Employment Opportunity
Category: Annual Reports
Date: Title: SEC OMWI FY 2020 Annual Report to Congress (PDF)
Minority and Women Inclusion
Category: Annual Reports
Date: Title: Report on Administrative Proceedings for the Period October 1, 2020 through March 31, 2021 (PDF)
Secretary
Category: Special Studies
Date: Title: 2021 examination priorities (PDF)
Examinations
Category:
Date: Title: Annual Equal Employment Opportunity Program Status Report 2019 (PDF) Equal Employment Opportunity (PDF)
Equal Employment Opportunity
Category: Annual Reports
Date: Title: FY 2019 SEC Affirmative Action Plan for Persons with Disabilities (PDF)
Equal Employment Opportunity
Category:
Date: Title: 2020 Report and Certification of Internal Supervisory Controls (PDF)
Examinations
Category: Internal Supervisory Controls
Date: Title: Office of the Investor Advocate Report on Activities for FY 2020 (PDF)
Investor Advocate
Category: Annual Reports
Date: Title: Annual Report on SEC Website Modernization Pursuant to Section 3(d) of the 21st Century Integrated Digital Experience Act. (PDF)
Category:
Date: Title: Annual Report to Congress on Nationally Recognized Statistical Rating Organizations - June 26, 2019 - June 25, 2020 (PDF)
Credit Ratings
Category: Annual Reports
Date: Title: 2020 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (PDF)
Credit Ratings
Category: Annual Reports
Date: Title: 2020 OASB Annual Report
Advocate for Small Business Capital Formation
Category: Annual Reports
Date: Title: Semiannual Management Report (November 2020) (PDF)
Category:
Date: Title: 2020 Annual Report to Congress on the Dodd-Frank Whistleblower Program (PDF)
Whistleblower
Category: Annual Reports
Date: Title: 2020 Agency Financial Report
Category: Annual Reports
Date: Title: SEC FY 2020 Conference Spending (PDF)
Financial Management
Category: Conference Spending
Date: Title: Annual Staff Report Relating to the Use of Form PF Data (PDF)
Category: Special Studies
Date: Title: Division of Enforcement 2020 Annual Report (PDF)
Enforcement
Category: Annual Reports
Date: Title: Report on Administrative Proceedings for the Period April 1, 2020 through September 30, 2020 (PDF)
Secretary
Category: Special Studies
Date: Title: FY 2016 Service Contract Inventory Analysis (PDF)
Category: Service Contract Inventory
Date: Title: FY 2016 Service Contract Inventory with Planned Analysis of FY 2017 Inventory (PDF)
Category: Service Contract Inventory
Date: Title: FY 2017 Service Contract Inventory Analysis (PDF)
Category: Service Contract Inventory
Date: Title: Planned Analysis of FY 2018 Inventory (PDF)
Category: Service Contract Inventory
Date: Title: U.S. Credit Markets Interconnectedness and the Effects of the COVID-19 Economic Shock
Economic and Risk Analysis
Category:
Date: Title: Staff Report on the Regulation of Clearing Agencies (PDF)
Trading and Markets
Category:
Date: Title: Questions You Should Ask About Your Investments brochure (PDF)
Investor Education and Advocacy
Category: Investor Publications
Date: Title: FY 2018 SEC Affirmative Action Plan for Persons with Disabilities (PDF)
Equal Employment Opportunity
Category:
Date: Title: Report to Congress on Regulation A / Regulation D Performance (PDF)
Economic and Risk Analysis
Category:
Date: Title: Staff Report on Algorithmic Trading in U.S. Capital Markets (PDF)
Trading and Markets
Category: Special Studies
Date: Title: Annual Equal Employment Opportunity Program Status Report 2018 (PDF) Equal Employment Opportunity (PDF)
Equal Employment Opportunity
Category:
Date: Title: FAIR Inventory 2020 (PDF)
Category: FAIR Act
Date: Title: Annual Equal Employment Opportunity Program Status Report 2017 (PDF) Equal Employment Opportunity (PDF)
Equal Employment Opportunity
Category:
Date: Title: Office of the Investor Advocate Report on Objectives for Fiscal Year 2021 (PDF)
Investor Advocate
Category: Annual Reports
Date: Title: Semiannual Management Report (May 2020) (PDF)
Category:
Date: Title: SEC OMWI FY 2019 Annual Report to Congress (PDF)
Minority and Women Inclusion
Category: Annual Reports
Date: Title: Report on Administrative Proceedings For the Period October 1, 2019 through March 31, 2020 (PDF)
Secretary
Category: Special Studies
Date: Title: Regulation A Lookback Study and Offering Limit Review Analysis, 2020 (PDF)
Corporation Finance
Category:
Date: Title: Fiscal Year 2021 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2019 Annual Performance Report
Category: Budget Reports
Date: Title: SEC FY 2019 Conference Spending (PDF)
Financial Management
Category: Conference Spending
Date: Title: Federal Employee Viewpoint Survey 2019 (XLSX)
Category: Federal Employee Viewpoint Survey
Date: Title: 2019 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (PDF)
Credit Ratings
Category: Annual Reports
Date: Title: Annual Report to Congress on Nationally Recognized Statistical Rating Organizations - June 26, 2018 - June 25, 2019 (PDF)
Credit Ratings
Category: Annual Reports
Date: Title: Annual Report on Existing SEC Websites and Digital Services Pursuant to Section 3 of the 21st Century Integrated Digital Experience Act (PDF)
Category:
Date: Title: 2020 Examination Priorities (PDF)
Compliance Inspections and Examinations
Category:
Date: Title: Semiannual Management Report (November 2019) (PDF)
Category:
Date: Title: Annual Staff Report Relating to the Use of Form PF Data (PDF)
Category: Special Studies
Date: Title: 2019 Report and Certification of Internal Supervisory Controls (PDF)
Examinations
Category: Internal Supervisory Controls
Date: Title: 2019 Examination Priorities (PDF)
Compliance Inspections and Examinations
Category:
Date: Title: Office of the Investor Advocate Report on Activities for FY 2019 (PDF)
Investor Advocate
Category: Annual Reports
Date: Title: 2019 OASB Final Report (PDF)
Advocate for Small Business Capital Formation
Category: Annual Reports
Date: Title: 2019 Annual Report to Congress on the Dodd-Frank Whistleblower Program (PDF)
Whistleblower
Category: Annual Reports
Date: Title: Fiscal Year 2019 Agency Financial Report
Category: Annual Reports
Date: Title: Division of Enforcement 2019 Annual Report (PDF)
Enforcement
Category: Annual Reports
Date: Title: Report on Administrative Proceedings For the Period April 1, 2019 through September 30, 2019 (PDF)
Secretary
Category: Special Studies
Date: Title: Office of the Investor Advocate Report on Objectives for Fiscal Year 2020 (PDF)
Investor Advocate
Category: Annual Reports
Date: Title: FAIR Inventory 2019 (PDF)
Category: FAIR Act
Date: Title: FAIR Inventory 2018 (PDF)
Category: FAIR Act
Date: Title: Regulation Crowdfunding Report 2019 (PDF)
Corporation Finance
Category:
Date: Title: FY 2017 SEC Affirmative Action Plan for Persons with Disabilities (PDF)
Equal Employment Opportunity
Category:
Date: Title: SEC OMWI FY 2018 Annual Report to Congress (PDF)
Minority and Women Inclusion
Category: Annual Reports
Date: Title: Report on Administrative Proceedings For the Period October 1, 2018 through March 31, 2019 (PDF)
Secretary
Category: Special Studies
Date: Title: Fiscal Year 2020 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2018 Annual Performance Report
Category: Budget Reports
Date: Title: Federal Employee Viewpoint Survey 2018 (XLSX)
Category: Federal Employee Viewpoint Survey
Date: Title: SEC FY 2018 Conference Spending (PDF)
Financial Management
Category: Conference Spending
Date: Title: 2018 Report and Certification of Internal Supervisory Controls (PDF)
Examinations
Category: Internal Supervisory Controls
Date: Title: 2018 Examination Priorities (PDF)
Compliance Inspections and Examinations
Category:
Date: Title: Office of the Investor Advocate FY 2018 Report on Activities (PDF)
Investor Advocate
Category: Annual Reports
Date: Title: Annual Report to Congress on Nationally Recognized Statistical Rating Organization - June 26, 2017 - June 25, 2018 (PDF)
Credit Ratings
Category: Annual Reports
Date: Title: 2018 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (PDF)
Credit Ratings
Category: Special Studies
Date: Title: Annual Staff Report Relating to the Use of Form PF Data (PDF)
Investment Management
Category: Special Studies
Date: Title: Fiscal Year 2018 Agency Financial Report
Category: Annual Reports
Date: Title: 2018 Annual Report to Congress on the Dodd-Frank Whistleblower Program (PDF)
Whistleblower
Category: Annual Reports
Date: Title: Division of Enforcement 2018 Annual Report (PDF)
Enforcement
Category: Annual Reports
Date: Title: Report on Administrative Proceedings For the Period April 1, 2018 through September 30, 2018 (PDF)
Secretary
Category: Special Studies
Date: Title: 2018-2022 Strategic Plan (PDF)
Category: Strategic Plan
Date: Title: Select SEC and Market Data 2017 (PDF)
Category: Select SEC and Market Data
Date: Title: Office of the Investor Advocate Report on Objectives for Fiscal Year 2019 (PDF)
Investor Advocate
Category: Annual Reports
Date: Title: Addendum to Division of Enforcement 2017 Annual Report (Select SEC and Market Data Fiscal 2017 – Enforcement Information Only) (PDF)
Enforcement
Category: Select SEC and Market Data
Date: Title: 2017 Report and Certification of Internal Supervisory Controls (PDF)
Category: Internal Supervisory Controls
Date: Title: Semiannual Management Report (May 2018) (PDF)
Category:
Date: Title: Report on Administrative Proceedings for the Period October 1, 2017, through March 31, 2018 (PDF)
Secretary
Category: Special Studies
Date: Title: SEC OMWI FY 2017 Annual Report to Congress (PDF)
Minority and Women Inclusion
Category: Annual Reports
Date: Title: Fiscal Year 2019 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2017 Annual Performance Report
Category: Budget Reports
Date: Title: SEC FY 2017 Conference Spending (PDF)
Financial Management
Category: Conference Spending
Date: Title: Office of the Investor Advocate FY 2017 Report on Activities (PDF)
Investor Advocate
Category: Annual Reports
Date: Title: Semiannual Management Report (November 2017) (PDF)
Category:
Date: Title: 2017 Annual Report to Congress on the Dodd-Frank Whistleblower Program (PDF)
Whistleblower
Category: Annual Reports
Date: Title: Division of Enforcement 2017 Annual Report (PDF)
Enforcement
Category:
Date: Title: Addendum to Division of Enforcement 2017 Annual Report (Select SEC and Market Data Fiscal 2017 – Enforcement Information Only) (addendum posted June 19, 2018) (PDF)
Enforcement
Category:
Date: Title: Fiscal Year 2017 Agency Financial Report
Category: Annual Reports
Date: Title: Federal Employee Viewpoint Survey 2017 (XLSX)
Category: Federal Employee Viewpoint Survey
Date: Title: Report on Administrative Proceedings for the Period April 1, 2017 through September 30, 2017 (PDF)
Secretary
Category: Special Studies
Date: Title: Annual Staff Report Relating to the Use of Form PF Data (PDF)
Investment Management
Category: Special Studies
Date: Title: Annual Equal Employment Opportunity Program Status Report 2016 (PDF) Equal Employment Opportunity (PDF)
Equal Employment Opportunity
Category:
Date: Title: FY 2015 Service Contract Inventory Analysis (PDF)
Category: Service Contract Inventory
Date: Title: Planned Analysis of FY 2016 Inventory (PDF)
Category: Service Contract Inventory
Date: Title: FAIR Inventory 2017 (PDF)
Category: FAIR Act
Date: Title: Access to Capital and Market Liquidity (PDF)
Economic and Risk Analysis
Category: Special Studies
Date: Title: Office of the Investor Advocate Report on Objectives for Fiscal Year 2018 (PDF)
Investor Advocate
Category: Annual Reports
Date: Title: 2016 Report and Certification (PDF)
Category: Internal Supervisory Controls
Date: Title: Fiscal Year 2018 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2016 Annual Performance Report
Category: Budget Reports
Date: Title: Semiannual Management Report (May 2017) (PDF)
Category:
Date: Title: Report on Administrative Proceedings for the Period October 1, 2016 through March 31, 2017 (PDF)
Secretary
Category: Special Studies
Date: Title: SEC OMWI FY 2016 Annual Report to Congress (PDF)
Minority and Women Inclusion
Category: Annual Reports
Date: Title: Summary of Performance and Financial Information, Fiscal Year 2016 (PDF)
Category: Annual Reports
Date: Title: Select SEC and Market Data 2016 (PDF)
Category: Select SEC and Market Data
Date: Title: 2017 Examination Priorities (PDF)
Compliance Inspections and Examinations
Category:
Date: Title: SEC FY 2016 Conference Spending (PDF)
Category: Conference Spending
Date: Title: Annual Report to Congress on Nationally Recognized Statistical Rating Organizations - June 26, 2015 – June 25, 2016 (PDF)
Credit Ratings
Category: Annual Reports
Date: Title: 2016 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (PDF)
Credit Ratings
Category: Special Studies
Date: Title: Office of the Investor Advocate FY 2016 Report on Activities (PDF)
Investor Advocate
Category: Annual Reports
Date: Title: Semiannual Management Report (November 2016) (PDF)
Category:
Date: Title: Report on Modernization and Simplification of Regulation S-K   (PDF)
Category:
Date: Title: 2016 Annual Report to Congress on the Dodd-Frank Whistleblower Program (PDF)
Whistleblower
Category: Annual Reports
Date: Title: Fiscal Year 2016 Agency Financial Report
Category: Annual Reports
Date: Title: Report on Administrative Proceedings for the Period April 1, 2016 through September 30, 2016 (PDF)
Category: Special Studies
Date: Title: Federal Employee Viewpoint Survey 2016 (XLSX)
Category: Federal Employee Viewpoint Survey
Date: Title: FAIR Inventory 2016 (PDF)
Category: FAIR Act
Date: Title: FAIR Act 2015 Inventory (PDF)
Category: FAIR Act
Date: Title: Commission Releases
Credit Ratings
Category:
Date: Title: Annual Staff Report Relating to the Use of Data Collected from Private Fund Systemic Risk Reports (PDF)
Investment Management
Category: Special Studies
Date: Title: Office of the Investor Advocate Report on Objectives for FY 2017 (PDF)
Investor Advocate
Category: Annual Reports
Date: Title: Semiannual Management Report (May 2016) (PDF)
Category:
Date: Title: Report on Administrative Proceedings For the Period October 1, 2015 through March 31, 2016 (PDF)
Category: Special Studies
Date: Title: SEC FY2015 Appendix B and C SCI Details (XLSX)
Category: Service Contract Inventory
Date: Title: 2014-2018 Strategic Plan (PDF)
Category: Strategic Plan
Date: Title: Annual Equal Employment Opportunity Program Status Report 2015 (PDF)
Equal Employment Opportunity
Category:
Date: Title: SEC OMWI FY 2015 Annual Report to Congress (PDF)
Minority and Women Inclusion
Category: Annual Reports
Date: Title: Summary of Performance and Financial Information, Fiscal Year 2015 (PDF)
Category: Annual Reports
Date: Title: FY 2017 Congressional Justification & FY 2015 Annual Performance Report and FY 2017 Annual Performance Plan
Category: Budget Reports
Date: Title: Select SEC and Market Data 2015 (PDF)
Category: Select SEC and Market Data
Date: Title: SEC FY2015 Supplement SCI (XLSX)
Category: Service Contract Inventory
Date: Title: Planned Analysis of FY 2015 Inventory (PDF)
Category: Service Contract Inventory
Date: Title: 2016 Examination Priorities (PDF)
Compliance Inspections and Examinations
Category:
Date: Title: SEC FY 2015 Conference Spending (PDF)
Category: Conference Spending
Date: Title: 2015 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (PDF)
Credit Ratings
Category: Special Studies
Date: Title: Annual Report to Congress on Nationally Recognized Statistical Rating Organizations - June 26, 2014 – June 25, 2015 (PDF)
Credit Ratings
Category: Annual Reports
Date: Title: 2015 Report and Certification (PDF)
Category: Internal Supervisory Controls
Date: Title: Office of the Investor Advocate FY 2015 Report on Activities (PDF)
Investor Advocate
Category: Annual Reports
Date: Title: Report on the Review of the Definition of “Accredited Investor” (PDF)
Corporation Finance
Category: Special Studies
Date: Title: Semiannual Management Report (November 2015) (PDF)
Category:
Date: Title: Fiscal Year 2015 Agency Financial Report
Category: Annual Reports
Date: Title: 2015 Annual Report on the Dodd-Frank Whistleblower Program (PDF)
Whistleblower
Category: Annual Reports
Date: Title: SEC FY 2014 Conference Spending (PDF)
Category: Conference Spending
Date: Title: Report on Administrative Proceedings for the Period April 1, 2015 through September 30, 2015 (PDF)
Category: Special Studies
Date: Title: Annual Staff Report Relating to the Use of Data Collected from Private Fund Systemic Risk Reports (PDF)
Investment Management
Category: Special Studies
Date: Title: Joint Staff Report: The U.S. Treasury Market on October 15, 2014 (PDF)
Category: Special Studies
Date: Title: Office of the Investor Advocate Report on Objectives for FY 2016 (PDF)
Investor Advocate
Category: Annual Reports
Date: Title: Semiannual Management Report (May 2015) (PDF)
Category:
Date: Title: Report on Administrative Proceedings For the Period October 1, 2014 through March 31, 2015 (PDF)
Category: Special Studies
Date: Title: OCIE-FINRA Report on National Senior Investor Initiative (PDF)
Compliance Inspections and Examinations
Category:
Date: Title: Annual Equal Employment Opportunity Program Status Report 2014 (PDF)
Equal Employment Opportunity
Category:
Date: Title: SEC OMWI FY 2014 Annual Report to Congress (PDF)
Minority and Women Inclusion
Category: Annual Reports
Date: Title: Summary of Performance and Financial Information, Fiscal Year 2014 (PDF)
Category: Annual Reports
Date: Title: Select SEC and Market Data 2014 (PDF)
Category: Select SEC and Market Data
Date: Title: FY 2016 Congressional Justification & FY 2014 Annual Performance Report and FY 2016 Annual Performance Plan
Category: Budget Reports
Date: Title: SEC FY2013 Appendix C SCI Summary (PDF)
Category: Service Contract Inventory
Date: Title: SEC FY2013 Appendix B SCI Detail (PDF)
Category: Service Contract Inventory
Date: Title: FY 2013 Service Contract Inventory Analysis (PDF)
Category: Service Contract Inventory
Date: Title: Planned Analysis of FY 2013 Inventory (PDF)
Category: Service Contract Inventory
Date: Title: 2015 Examination Priorities (PDF)
Compliance Inspections and Examinations
Category:
Date: Title: 2014 Results for Regions (PDF)
Category: Federal Employee Viewpoint Survey
Date: Title: 2014 Results for Headquarters (PDF)
Category: Federal Employee Viewpoint Survey
Date: Title: 2014 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (PDF)
Credit Ratings
Category: Special Studies
Date: Title: Annual Report to Congress - June 26, 2013 – June 25, 2014 (PDF)
Credit Ratings
Category: Annual Reports
Date: Title: Office of the Investor Advocate FY 2014 Report on Activities (PDF)
Investor Advocate
Category:
Date: Title: 2014 Report and Certification (PDF)
Category: Internal Supervisory Controls
Date: Title: Semiannual Management Report (November 2014) (PDF)
Category:
Date: Title: 2014 Annual Report on the Dodd-Frank Whistleblower Program (PDF)
Whistleblower
Category: Annual Reports
Date: Title: Fiscal Year 2014 Agency Financial Report
Category: Annual Reports
Date: Title: SEC FY2014 Appendix B and C SCI Details (XLSX)
Category: Service Contract Inventory
Date: Title: FY 2014 Service Contract Inventory Analysis (PDF)
Category: Service Contract Inventory
Date: Title: SEC FY2014 Supplement SCI (XLSX)
Category: Service Contract Inventory
Date: Title: Planned Analysis of FY 2014 Inventory (PDF)
Category: Service Contract Inventory
Date: Title: SEC FY 2013 Conference Spending (PDF)
Category: Conference Spending
Date: Title: Report on Administrative Proceedings for the Period April 1, 2014 through September 30, 2014 (PDF)
Category: Special Studies
Date: Title: 2014 Inventory (PDF)
Category: FAIR Act
Date: Title: Annual Staff Report Relating to the Use of Data Collected from Private Fund Systemic Risk Reports (PDF)
Category: Special Studies
Date: Title: Report on Objectives - Office of the Investor Advocate (PDF)
Category: Annual Reports
Date: Title: Short Sale Position and Transaction Reporting (PDF)
Economic and Risk Analysis
Category: Special Studies
Date: Title: Semiannual Management Report (May 2014) (PDF)
Category:
Date: Title: Report on Administrative Proceedings For the Period October 1, 2013 through March 31, 2014 (PDF)
Category: Special Studies
Date: Title: SEC OMWI FY 2013 Annual Report to Congress (PDF)
Minority and Women Inclusion
Category: Annual Reports
Date: Title: 2013: Division of Investment Management Year in Review (PDF)
Investment Management
Category: Annual Reports
Date: Title: FY 2015 Congressional Justification and Performance Plan & FY 2013 Annual Performance Report
Category: Budget Reports
Date: Title: Q&A: Small Business and the SEC
Category: Investor Publications
Date: Title: Identity Theft: Learn How To Protect Yourself
Category: Investor Publications
Date: Title: Understanding Investment Professional Designations (tips from FINRA)
Category: Investor Publications
Date: Title: Select SEC and Market Data 2013 (PDF)
Category: Select SEC and Market Data
Date: Title: Beginners' Guide to Financial Statements
Investor Education and Advocacy
Category: Investor Publications
Date: Title: 2014 Examination Priorities (PDF)
Compliance Inspections and Examinations
Category:
Date: Title: 2013 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (PDF)
Category: Special Studies
Date: Title: JOBS Act Section 108 Report to Congress on Review of Disclosure Requirements in Regulation S-K (PDF)
Category: Special Studies
Date: Title: 2013 Report and Certification (PDF)
Category: Internal Supervisory Controls
Date: Title: 2013 Agency Financial Report
Category: Annual Reports
Date: Title: Annual Report to Congress - June 26, 2012 to June 25, 2013 (PDF)
Credit Ratings
Category: Annual Reports
Date: Title: Semiannual Management Report (PDF)
Category:
Date: Title: Report to Congress on Credit Rating Agency Independence Study (PDF)
Category: Special Studies
Date: Title: 2013 Annual Report on the Dodd-Frank Whistleblower Program (PDF)
Whistleblower
Category: Annual Reports
Date: Title: Report on Administrative Proceedings for the Period April 1, 2013 through September 30, 2013 (PDF)
Category: Special Studies
Date: Title: Affinity Fraud: How to Avoid Investment Scams That Target Group
Category: Investor Publications
Date: Title: HSPD-12 Implementation Status Report (Personal Identification Verification (PIV) Credentials) (PDF)
Category:
Date: Title: Microcap Stock: A Guide for Investors
Category: Investor Publications
Date: Title: "Phishing" Fraud: How to Avoid Getting Fried by Phony Phishermen
Category: Investor Publications
Date: Title: 2013 Inventory (PDF)
Category: FAIR Act
Date: Title: Annual Staff Report Relating to the Use of Data Collected from Private Fund Systemic Risk Reports (PDF)
Category: Special Studies
Date: Title: Fourth Report on the Implementation of SEC Organizational Reform Recommendations (PDF)
Category: Special Studies
Date: Title: Report on Administrative Proceedings for the Period October 1, 2012 through March 31, 2013 (PDF)
Category: Special Studies
Date: Title: Office of Minority and Women Inclusion Annual Report (PDF)
Category: Annual Reports
Date: Title: A Guide for Seniors: Protect Yourself Against Investment Fraud (PDF)
Category: Investor Publications
Date: Title: FY 2014 Congressional Justification and Performance Plan & FY 2012 Annual Performance Report
Category: Budget Reports
Date: Title: 2013 Examination Priorities (PDF)
Compliance Inspections and Examinations
Category:
Date: Title: Summary of Performance and Financial Information, Fiscal Year 2012 (PDF) (PDF)
Category: Annual Reports
Date: Title: Select SEC and Market Data 2012 (PDF)
Category: Select SEC and Market Data
Date: Title: SEC FY 2012 Conference Spending (PDF)
Category: Conference Spending
Date: Title: Rule 144: Selling Restricted and Control Securities
Category: Investor Publications
Date: Title: Trade Execution: What Every Investor Should Know
Category: Investor Publications
Date: Title: SEC FY2012 Appendix C SCI Summary (PDF)
Category: Service Contract Inventory
Date: Title: 2012 Report and Certification (PDF)
Category: Internal Supervisory Controls
Date: Title: SEC FY2012 Appendix B SCI Detail (PDF)
Category: Service Contract Inventory
Date: Title: Assigned Credit Ratings (PDF)
Category: Special Studies
Date: Title: FY 2012 Service Contract Inventory Analysis (PDF)
Category: Service Contract Inventory
Date: Title: SEC FY2011 Appendix C SCI Summary (PDF)
Category: Service Contract Inventory
Date: Title: SEC FY2011 Appendix B SCI Detail (PDF)
Category: Service Contract Inventory
Date: Title: FY 2011 Service Contract Inventory Analysis (PDF)
Category: Service Contract Inventory
Date: Title: Planned Analysis of FY 2011 Inventory (PDF)
Category: Service Contract Inventory
Date: Title: Planned Analysis of FY 2012 Inventory (PDF)
Category: Service Contract Inventory
Date: Title: Researching the Federal Securities Laws Through the SEC Website
Category: Investor Publications
Date: Title: Annual Report to Congress - June 26, 2011 to June 25, 2012 (PDF)
Credit Ratings
Category: Annual Reports
Date: Title: 2012 Annual Report on the Dodd-Frank Whistleblower Program (PDF)
Whistleblower
Category: Annual Reports
Date: Title: 2012 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (PDF)
Category: Special Studies
Date: Title: Report on Administrative Proceedings for the Period April 1, 2012 through September 30, 2012 (PDF)
Category: Special Studies
Date: Title: Third Report on the Implementation of SEC Organizational Reform Recommendations (PDF)
Category: Special Studies
Date: Title: JOBS Act Section 504 Report on Authority to Enforce Exchange Act Rule 12g5-1 and Subsection (b)(3) (PDF)
Category: Special Studies
Date: Title: Guide to Insider Trading: Online Publications at the SE
Category: Investor Publications
Date: Title: Report on Credit Rating Standardization (PDF)
Category: Special Studies
Date: Title: SEC Staff Study Regarding Financial Literacy Among Investors
Category: Special Studies
Date: Title: Investment Advisers: What You Need to Know Before Choosing One
Category: Investor Publications
Date: Title: Report on the Municipal Securities Market (PDF)
Category: Special Studies
Date: Title: JOBS Act Section 106 Report to Congress on Decimalization (PDF)
Category: Special Studies
Date: Title: 2012 Inventory (PDF)
Category: FAIR Act
Date: Title: Report on Administrative Proceedings for the Period October 1, 2011 through March 31, 2012 (PDF)
Category: Special Studies
Date: 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: Title: Office of Minority and Women Inclusion Annual Report (PDF)
Category: Annual Reports
Date: Title: Report on the Implementation of SEC Organizational Reform Recommendations (PDF)
Category: Special Studies
Date: Title: Annual Report to Congress - June 26, 2010 to June 25, 2011 (PDF)
Credit Ratings
Category: Annual Reports
Date: Title: Congressional Justification FY 2013 in Brief (PDF)
Category: Budget Reports
Date: Title: Joint Report on International Swap Regulation (PDF)
Category: Special Studies
Date: Title: Researchers and Librarians—Easy Access to Selected Securities and Investor Information at the SEC
Category: Investor Publications
Date: Title: Select SEC and Market Data 2011 (PDF)
Category: Select SEC and Market Data
Date: Title: 2012 Agency Financial Report
Category: Annual Reports
Date: Title: 2011 Report and Certification (PDF)
Category: Internal Supervisory Controls
Date: Title: 2011 Annual Report on the Dodd-Frank Whistleblower Program (PDF)
Whistleblower
Category: Annual Reports
Date: Title: Report on Administrative Proceedings for the Period April 1, 2011 through September 30, 2011 (PDF)
Category: Special Studies
Date: Title: “Mutual-to-Stock” Conversions: Tips for Investor
Category: Investor Publications
Date: Title: 2011 Summary Report of Commission Staff's Examinations of Each Nationally Recognized Statistical Rating Organization (PDF)
Category: Special Studies
Date: Title: Report on the Implementation of SEC Organizational Reform Recommendations (PDF)
Category: Special Studies
Date: Title: Staff Summary Report on Issues Identified in Examinations of Certain Structured Securities Products Sold to Retail Investors (PDF)
Category: Special Studies
Date: Title: Report on Review of Reliance on Credit Ratings (PDF)
Category: Special Studies
Date: Title: 2011 Inventory (PDF)
Category: FAIR Act
Date: 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: Title: Report on Administrative Proceedings for the Period October 1, 2010 through March 31, 2011 (PDF)
Category: Special Studies
Date: Title: Joint Study on the Feasibility of Mandating Algorithmic Descriptions for Derivatives (PDF)
Category: Special Studies
Date: Title: 2010 Report (PDF)
Category: Buy American Act
Date: Title: U.S. Securities and Exchange Commission Organizational Study and Reform (PDF)
Category: Special Studies
Date: Title: About the SEC’s Office of Investor Education and Advocacy
Category: Investor Publications
Date: Title: Congressional Justification FY 2012 in Brief (PDF)
Category: Budget Reports
Date: Title: Internet Fraud: How to Avoid Internet Investment Scams
Category: Investor Publications
Date: Title: Study and Recommendations on Improved Investor Access to Registration Information About Investment Advisers and Broker-Dealers (PDF)
Category: Special Studies
Date: Title: Study on Investment Advisers and Broker-Dealers
Category: Special Studies
Date: Title: Staff Study on Enhancing Investment Adviser Examinations
Category: Special Studies
Date: Title: Select SEC and Market Data 2010 (PDF)
Category: Select SEC and Market Data
Date: Title: 2011 Annual Report
Category: Annual Reports
Date: Title: Annual Report to Congress - June 26, 2009 to June 25, 2010 (PDF)
Credit Ratings
Category: Annual Reports
Date: Title: E-Government Act Implementation Updates: FY 2010 Update (PDF)
Category:
Date: Title: Annual Report on Whistleblower Program (PDF)
Category: Special Studies
Date: Title: Report on Administrative Proceedings for Period April 1, 2010 through September 30, 2010 (PDF)
Category: Special Studies
Date: Title: 2010-2015 Strategic Plan (PDF)
Category: Strategic Plan
Date: Title: Findings Regarding the Market Events of May 6, 2010 (PDF)
Category: Special Studies
Date: Title: Analyzing Analyst Recommendations
Trading and Markets
Category: Investor Publications
Date: Title: The SEC Mutual Fund Cost Calculator: A Tool for Comparing Mutual Funds
Category: Investor Publications
Date: Title: Life Settlements Task Force: Staff Report to the United States Securities and Exchange Commission (PDF)
Category: Special Studies
Date: Title: 2010 Inventory (PDF)
Category: FAIR Act
Date: Title: Report on Administrative Proceedings for Period October 1, 2009 through March 31, 2010 (PDF)
Category: Special Studies
Date: Title: 2009 Report (PDF)
Category: Buy American Act
Date: Title: Congressional Justification FY 2011 in Brief (PDF)
Category: Budget Reports
Date: Title: 2010 Annual Report
Category: Annual Reports
Date: Title: Five Questions to Ask Before You Invest
Category: Investor Publications
Date: Title: Beginners’ Guide to Investing
Category: Investor Publications
Date: Title: Fake Seals and Phony Numbers: How Fraudsters Try to Look Legit
Category: Investor Publications
Date: Title: SIPC Exposes Phony "Look-Alike" Web Site
Enforcement
Category: Investor Publications
Date: Title: Taking Stock: Getting Your Fiscal Act Together
Category: Investor Publications
Date: Title: Cold Calling: Unsolicited Calls from Brokers
Category: Investor Publications
Date: Title: Select SEC and Market Data 2009 (PDF)
Category: Select SEC and Market Data
Date: Title: E-Government Act Implementation Updates: FY 2009 Update (PDF)
Category:
Date: Title: Guide to Identifying and Avoiding Securities Fraud
Category: Investor Publications
Date: Title: Report on Administrative Proceedings for Period April 1, 2009 through September 30, 2009 (PDF)
Category: Special Studies
Date: Title: Compliance Guide to the Registration and Regulation of Brokers and Dealers
Category: Investor Publications
Date: Title: Executive Summary: Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme (PDF)
Category: Special Studies
Date: Title: Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme
Category: Special Studies
Date: Title: Annual Report to Congress - June 26, 2008 to June 25, 2009 (PDF)
Credit Ratings
Category: Annual Reports
Date: Title: Beginners' Guide to Asset Allocation, Diversification, and Rebalancing
Category: Investor Publications
Date: Title: 2009 Inventory (PDF)
Category: FAIR Act
Date: Title: All About Auto-Trading
Category: Investor Publications
Date: Title: How To Avoid Fraud
Category: Investor Publications
Date: Title: Warning to All Investors About Bogus "Prime Bank" and Other Banking-Related Investment Schemes
Category: Investor Publications
Date: Title: Ultra-Short Bond Funds: Know Where You're Parking Your Money
Category: Investor Publications
Date: Title: Congressional Justification FY 2010 in Brief (PDF)
Category: Budget Reports
Date: Title: Report on Administrative Proceedings for Period October 1, 2008 through March 31, 2009 (PDF)
Category: Special Studies
Date: Title: Beginners’ Guide to Mutual Funds
Category: Investor Publications
Date: Title: Margin: Borrowing Money to Pay for Stocks
Category: Investor Publications
Date: Title: Transferring your Brokerage Account: Tips on Avoiding Delays
Category: Investor Publications
Date: Title: 2008 Report (PDF)
Category: Buy American Act
Date: Title: Execution Quality Statistics: How to Find Information on Order Execution and Routing Practices
Category: Investor Publications
Date: Title: "Senior" Specialists and Advisors: What You Should Know About Professional Designations
Category: Investor Publications
Date: Title: Online Brokerage Accounts: What You Can Do to Safeguard Your Money and Your Personal Information
Category: Investor Publications
Date: Title: The Fleecing of Foreign Investors: Avoid Getting Burned by "Hot" U.S. Stocks
Category: Investor Publications
Date: Title: Bankruptcy: What Happens When Public Companies Go Bankrupt
Category: Investor Publications
Date: Title: 2009 Annual Report
Category: Annual Reports
Date: Title: SEC's Congressionally Mandated Study on Mark-to-Market Accounting (PDF)
Category: Special Studies
Date: Title: High-Yield CDs: Protect Your Money by Checking the Fine Print
Category: Investor Publications
Date: Title: Select SEC and Market Data 2008 (PDF)
Category: Select SEC and Market Data
Date: Title: After-Hours Trading: Understanding the Risks
Category: Investor Publications
Date: Title: Report on Administrative Proceedings for Period April 1, 2008 through September 30, 2008 (PDF)
Category: Special Studies
Date: Title: 2008 Inventory (PDF)
Category: FAIR Act
Date: Title: E-Government Act Implementation Updates: FY 2008 Update (PDF)
Category:
Date: Title: Promissory Notes: Promises, Problems (PDF)
Category: Investor Publications
Date: Title: Summary Report of Issues Identified in the Commission Staff's Examinations of Select Credit Rating Agencies (PDF)
Category: Special Studies
Date: Title: Getting Info About Companies
Category: Investor Publications
Date: Title: Evaluating Your Retirement Options: The 403(b) Plan
Category: Investor Publications
Date: Title: Annual Report to Congress - June 26, 2007 to June 25, 2008 (PDF)
Credit Ratings
Category: Annual Reports
Date: Title: Report on Administrative Proceedings For Period October 1, 2007 through March 31, 2008 (PDF)
Category: Special Studies
Date: Title: 2007 Report (PDF)
Category: Buy American Act
Date: Title: Investment Choices and Methods
Category: Investor Publications
Date: Title: OMB Exhibit 300 Reports FY 2009
Category: Budget Reports
Date: Title: Congressional Justification FY 2009 in Brief (PDF)
Category: Budget Reports
Date: Title: Mini-Tender Offers: Tips for Investors
Category: Investor Publications
Date: Title: 2008 Annual Report — Performance and Accountability Report
Category: Annual Reports
Date: Title: 2008 Citizens’ Report
Category: Annual Reports
Date: Title: Select SEC and Market Data 2007 (PDF)
Category: Select SEC and Market Data
Date: Title: Report on Administrative Proceedings for Period April 1, 2007 through September 30, 2007 (PDF)
Category: Special Studies
Date: Title: E-Government Act Implementation Updates: FY 2007 Update (PDF)
Category:
Date: Title: 2007 Inventory (PDF)
Category: FAIR Act
Date: Title: Avoiding Internet Investment Scams: Tips for Investors
Category: Investor Publications
Date: Title: "Pro Forma" Financial Information: Tips for Investors
Category: Investor Publications
Date: Title: Oil and Gas Scams: Common Red Flags and Steps You Can Take to Protect Yoursel
Category: Investor Publications
Date: Title: Periodic Payment Plans
Category: Investor Publications
Date: Title: Privacy Choices for Your Personal Financial Information
Category: Investor Publications
Date: Title: Ask Questions: Questions You Should Ask About Your Investments and What To Do If You Run Into Problems
Category: Investor Publications
Date: Title: Get the Facts on Saving and Investing
Category: Investor Publications
Date: Title: Invest Wisely: Advice From Your Securities Industry Regulators
Category: Investor Publications
Date: Title: Pregunte (folleto en Espanol) ("Ask Questions" brochure in Spanish)
Category: Investor Publications
Date: Title: Tips for Online Investing: What You Need to Know About Trading In Fast-Moving Markets
Category: Investor Publications
Date: Title: Form for Taking Notes
Category: Investor Publications
Date: Title: Mutual Fund Investing: Look at More Than a Fund’s Past Performance
Category: Investor Publications
Date: Title: Report on Administrative Proceedings for Period October 1, 2006 through March 31, 2007 (PDF)
Category: Special Studies
Date: Title: Report on Refunds, Sales Practices, and Revenues from Periodic Payment Plans (PDF)
Category: Special Studies
Date: Title: 2006 Report (PDF)
Category: Buy American Act
Date: Title: Report Concerning Examinations of Options Order Routing and Execution (PDF)
Category: Special Studies
Date: Title: Select SEC and Market Data 2006 (PDF)
Category: Select SEC and Market Data
Date: Title: 2008 Performance Budget (PDF)
Category: Budget Reports
Date: Title: Beginners' Guide to Financial Statement
Category: Investor Publications
Date: Title: Congressional Justification FY 2008 (PDF)
Category: Budget Reports
Date: Title: Report on Administrative Proceedings for Period April 1, 2005 through September 30, 2005 (PDF)
Category: Special Studies
Date: Title: Report on Administrative Proceedings for Period April 1, 2006 through September 30, 2006 (PDF)
Category: Special Studies
Date: Title: Report on Administrative Proceedings for Period October 1, 2005 through March 31, 2006 (PDF)
Category: Special Studies
Date: Title: 2007 Annual Report — Performance and Accountability Report
Category: Annual Reports
Date: Title: E-Government Act Implementation Updates: FY 2006 Update (PDF)
Category:
Date: Title: OMB Exhibit 300 Reports FY 2008
Category: Budget Reports
Date: Title: 2006 Inventory (PDF)
Category: FAIR Act
Date: Title: Lump Sum Payouts: Questions You Should Ask Yourself Before You Invest a Dime
Category: Investor Publications
Date: Title: 2007 Performance Budget (PDF)
Category: Budget Reports
Date: Title: 2005 Report (PDF)
Category: Buy American Act
Date: Title: Select SEC and Market Data 2005 (PDF)
Category: Select SEC and Market Data
Date: Title: Auto-Surfing: What You Need to Kno
Category: Investor Publications
Date: Title: Congressional Request FY 2007 (PDF)
Category: Budget Reports
Date: Title: "Wrong Numbers" and Stock Tips on Your Answering Machine
Category: Investor Publications
Date: Title: 2006 Annual Report — Performance and Accountability Report
Category: Annual Reports
Date: Title: Worthless Stock: How to Avoid Doubling Your Losses
Category: Investor Publications
Date: Title: Select SEC and Market Data 2004 (PDF)
Category: Select SEC and Market Data
Date: Title: 2005 Inventory (PDF)
Category: FAIR Act
Date: Title: Selecting and Monitoring Pension Consultants: Tips for Plan Fiduciaries
Category: Investor Publications
Date: Title: Day Trading: Your Dollars at Risk
Category: Investor Publications
Date: Title: "High Yields" and Hot Air
Category: Investor Publications
Date: Title: 2006 Performance Budget (PDF)
Category: Budget Reports
Date: Title: Congressional Request FY 2006 (PDF)
Category: Budget Reports
Date: Title: Mutual Fund Proxy Voting Records and Policies
Category: Investor Publications
Date: Title: Pump&Dump.con: Tips for Avoiding Stock Scams on the Internet
Category: Investor Publications
Date: Title: Risky Business: "Pre-IPO [Initial Public Offering]" Investing
Category: Investor Publications
Date: Title: 2005 Annual Report — Performance and Accountability Report
Category: Annual Reports
Date: Title: 2004 Inventory (PDF)
Category: FAIR Act
Date: Title: Variable Annuities and Variable Life Products: Questions to Ask
Category: Investor Publications
Date: Title: About Settling Trades In Three Days: Introducing T+3
Category: Investor Publications
Date: Title: 2004 Annual Report — Performance and Accountability Report
Category: Annual Reports
Date: Title: Implications of the Growth of Hedge Funds (PDF)
Investment Management
Category: Special Studies
Date: Title: 2003 Inventory (PDF)
Category: FAIR Act
Date: Title: Holding Your Securities— - Get the Facts
Category: Investor Publications
Date: Title: 2003 Annual Report
Category: Annual Reports
Date: Title: 2002 Inventory (PDF)
Category: FAIR Act
Date: Title: All About Auditors
Category: Investor Publications
Date: Title: 2002 Annual Report
Category: Annual Reports
Date: Title: 2001 Inventory
Category: FAIR Act
Date: Title: Stock Market Fraud "Survivor" Checklist
Category: Investor Publications
Date: Title: 2001 Annual Report
Category: Annual Reports
Date: Title: Report on Mutual Fund Fees and Expenses
Investment Management
Category: Special Studies
Date: Title: 2000 Annual Report
Category: Annual Reports
Date: Title: A Plain English Handbook: How to Create Clear SEC Disclosure Documents
Category: Investor Publications
Date: Title: 1999 Annual Report
Category: Annual Reports
Date: Title: 1998 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1997 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1996 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1995 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1994 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1993 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1992 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1991 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1990 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1989 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1988 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1987 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1986 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1985 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1984 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1983 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1982 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1981 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1980 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1979 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1978 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1977 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1976 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1975 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1974 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1973 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1972 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1971 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1970 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1969 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1968 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1967 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1966 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1965 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1964 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1963 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1962 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1961 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1960 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1959 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1958 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1957 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1956 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1955 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1954 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1953 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1952 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1951 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1950 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1949 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1948 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1947 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1946 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1945 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1944 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1943 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1942 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1941 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1940 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1939 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1938 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1937 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1936 Annual Report (PDF)
Category: Annual Reports
Date: Title: 1935 Annual Report (PDF)
Category: Annual Reports