Date: May 23, 2023
Title:
Semiannual Management Report (May 2023) (PDF)
Category:
Date: April 28, 2023
Title:
Report on Administrative Proceedings For the Period October 1, 2022 through March 31, 2023 (PDF)
Category: Special Studies
Date: April 14, 2023
Title:
FY22 Annual No FEAR Act Report to Congress (PDF)
Equal Employment Opportunity
Category: Annual Reports
Date: April 4, 2023
Title:
SEC OMWI FY 2022 Annual Report to Congress (PDF)
Minority and Women Inclusion
Category: Annual Reports
Date: March 20, 2023
Title:
Report on Security-Based Swaps (Issued on March 20, 2023) (PDF)
Trading and Markets
Category:
Date: March 13, 2023
Title:
Fiscal Year 2024 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2022 Annual Performance Report
Category: Budget Reports
Date: Feb. 7, 2023
Title:
2023 Examination Priorities (PDF)
Examinations
Category:
Date: Feb. 2, 2023
Title:
Staff Report on Nationally Recognized Statistical Rating Organizations (PDF)
Credit Ratings
Category:
Date: Jan. 26, 2023
Title:
OCDO Data Strategy FY 2022-2026 (PDF)
Chief Operating Officer
Category: Strategic Plan
Date: Dec. 29, 2022
Title:
2022 Report and Certification of Internal Supervisory Controls (PDF)
Examinations
Category: Internal Supervisory Controls
Date: Dec. 20, 2022
Title:
FY21 EEO Annual redacted report 508 (PDF)
Equal Employment Opportunity
Category: Annual Reports
Date: Dec. 20, 2022
Title:
FY21 SEC Affirmative Action Plan for Persons with Disabilities (PDF)
Equal Employment Opportunity
Category:
Date: Dec. 15, 2022
Title:
2022 OASB Annual Report (PDF)
Advocate for Small Business Capital Formation
Category: Annual Reports
Date: Dec. 15, 2022
Title:
FY22 OIAD Report On Activities (PDF)
Investor Advocate
Category: Annual Reports
Date: Dec. 9, 2022
Title:
Annual Staff Report Relating to the Use of Form PF Data (PDF)
Category: Special Studies
Date: Dec. 9, 2022
Title:
2022 Annual Report on SEC Website Modernization Pursuant to Section 3(d) of the 21st Century Integrated Digital Experience Act (PDF)
Category: Annual Reports
Date: Dec. 7, 2022
Title:
SEC FY 2022 Conference Spending (PDF)
Financial Management
Category: Conference Spending
Date: Nov. 29, 2022
Title:
2022-2026 Strategic Plan (PDF)
Category: Strategic Plan
Date: Nov. 22, 2022
Title:
Semiannual Management Report (November 2022) (PDF)
Category:
Date: Nov. 15, 2022
Title:
2022 Annual Report to Congress on the Dodd-Frank Whistleblower Program (PDF)
Whistleblower
Category: Annual Reports
Date: Nov. 15, 2022
Title:
2022 Agency Financial Report
Category: Annual Reports
Date: Nov. 3, 2022
Title:
Federal Employee Viewpoint Survey 2021 (XLSX)
Category: Federal Employee Viewpoint Survey
Date: Oct. 31, 2022
Title:
Report on Administrative Proceedings for the Period April 1, 2022 through September 30, 2022 (PDF)
Secretary
Category: Special Studies
Date: July 27, 2022
Title:
2022 Small Business Forum Report (PDF)
Advocate for Small Business Capital Formation
Category: Annual Reports
Date: July 15, 2022
Title:
Report on Security-Based Swaps (Based on Trade State Data for March 31, 2022) (PDF)
Trading and Markets
Category:
Date: June 30, 2022
Title:
Office of the Investor Advocate Report on Objectives for Fiscal Year 2023 (PDF)
Investor Advocate
Category: Annual Reports
Date: June 22, 2022
Title:
FAIR Inventory 2022 (PDF)
Category: FAIR Act
Date: June 1, 2022
Title:
FY21 Annual No FEAR Act Report to Congress (PDF)
Equal Employment Opportunity
Category: Annual Reports
Date: May 27, 2022
Title:
Semiannual Management Report (May 2022) (PDF)
Category:
Date: May 2, 2022
Title:
2020 OMWI Diversity Assessment Report (PDF)
Minority and Women Inclusion
Category:
Date: April 29, 2022
Title:
Report on Administrative Proceedings for the Period October 1, 2021 through March 31, 2022 (PDF)
Secretary
Category: Special Studies
Date: April 4, 2022
Title:
SEC OMWI FY 2021 Annual Report to Congress (PDF)
Minority and Women Inclusion
Category: Annual Reports
Date: March 30, 2022
Title:
2022 Examination Priorities (PDF)
Examinations
Category:
Date: March 28, 2022
Title:
Fiscal Year 2023 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2021 Annual Performance Report (PDF)
Category: Budget Reports
Date: Feb. 22, 2022
Title:
Staff Report on the Issues Affecting the Provision of and Reliance Upon Investment Research Into Small Issuers (PDF)
Category:
Date: Feb. 22, 2022
Title:
Study on Threshold Limits Applicable to Diversified Companies (PDF)
Category: Special Studies
Date: Feb. 7, 2022
Title:
Semiannual Management Report (November 2021) (PDF)
Category:
Date: Jan. 31, 2022
Title:
Staff Report on Nationally Recognized Statistical Rating Organizations (PDF)
Credit Ratings
Category:
Date: Dec. 29, 2021
Title:
2021 Report and Certification of Internal Supervisory Controls (PDF)
Examinations
Category: Internal Supervisory Controls
Date: Dec. 16, 2021
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: Dec. 16, 2021
Title:
FY21 OIAD Report On Activities (PDF)
Investor Advocate
Category: Annual Reports
Date: Dec. 15, 2021
Title:
Response to Congress: Negative Net Equity Issuance (December 23, 2020) (PDF)
Economic and Risk Analysis
Category:
Date: Dec. 13, 2021
Title:
SEC FY 2021 Conference Spending (PDF)
Financial Management
Category: Conference Spending
Date: Dec. 9, 2021
Title:
2021 OASB Annual Report (PDF)
Advocate for Small Business Capital Formation
Category: Annual Reports
Date: Dec. 3, 2021
Title:
Annual Staff Report Relating to the Use of Form PF Data (PDF)
Category: Special Studies
Date: Nov. 18, 2021
Title:
FY21 Enforcement Results (PDF)
Enforcement
Category: Annual Reports
Date: Nov. 16, 2021
Title:
2021 Annual Report to Congress on the Dodd-Frank Whistleblower Program (PDF)
Whistleblower
Category: Annual Reports
Date: Nov. 15, 2021
Title:
2021 Agency Financial Report
Category: Annual Reports
Date: Nov. 9, 2021
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: Nov. 8, 2021
Title:
Recent Disruptions and Potential Reforms in the U.S. Treasury Market: A Staff Progress Report (PDF)
Category: Special Studies
Date: Oct. 29, 2021
Title:
Report on Administrative Proceedings for the Period April 1, 2021 through September 30, 2021 (PDF)
Secretary
Category: Special Studies
Date: Oct. 19, 2021
Title:
FY 2019 Service Contract Inventory with Planned Analysis of FY 2020 Inventory (PDF)
Acquisitions
Category: Service Contract Inventory
Date: Oct. 19, 2021
Title:
FY 2019 Service Contract Inventory Analysis (PDF)
Acquisitions
Category: Service Contract Inventory
Date: Oct. 18, 2021
Title:
Staff Report on Equity and Options Market Structure Conditions in Early 2021 (PDF)
Trading and Markets
Category:
Date: Sept. 24, 2021
Title:
2021 OASB Annual Forum Report (PDF)
Advocate for Small Business Capital Formation
Category: Annual Reports
Date: Sept. 20, 2021
Title:
Federal Employee Viewpoint Survey 2020 (XLSX)
Category: Federal Employee Viewpoint Survey
Date: July 22, 2021
Title:
FY 2020 Report on Equal Employment Opportunity Programs (PDF)
Equal Employment Opportunity
Category:
Date: July 22, 2021
Title:
FY 2020 SEC Affirmative Action Plan for Persons with Disabilities (PDF)
Equal Employment Opportunity
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: FAIR Act
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: Annual Reports
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: March 3, 2021
Title:
2021 examination priorities (PDF)
Examinations
Category:
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:
2020 Report and Certification of Internal Supervisory Controls (PDF)
Examinations
Category: Internal Supervisory Controls
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
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 Annual Report to Congress on the Dodd-Frank Whistleblower Program (PDF)
Whistleblower
Category: Annual Reports
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: Sept. 1, 2020
Title:
Questions You Should Ask About Your Investments brochure (PDF)
Investor Education and Advocacy
Category: Investor Publications
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 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:
2020 Examination Priorities (PDF)
Compliance Inspections and Examinations
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. 29, 2019
Title:
2019 Report and Certification of Internal Supervisory Controls (PDF)
Examinations
Category: Internal Supervisory Controls
Date: Dec. 20, 2019
Title:
2019 Examination Priorities (PDF)
Compliance Inspections and Examinations
Category:
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. 29, 2018
Title:
2018 Report and Certification of Internal Supervisory Controls (PDF)
Examinations
Category: Internal Supervisory Controls
Date: Dec. 20, 2018
Title:
2018 Examination Priorities (PDF)
Compliance Inspections and Examinations
Category:
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: May 29, 2018
Title:
Introduction to 529 Plans
Investment Management<br>Investor Education and Advocacy
Category: Investor Publications
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. 12, 2017
Title:
2017 Examination Priorities (PDF)
Compliance Inspections and Examinations
Category:
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. 11, 2016
Title:
2016 Examination Priorities (PDF)
Compliance Inspections and Examinations
Category:
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. 13, 2015
Title:
2015 Examination Priorities (PDF)
Compliance Inspections and Examinations
Category:
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: Jan. 9, 2014
Title:
2014 Examination Priorities (PDF)
Compliance Inspections and Examinations
Category:
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. 21, 2013
Title:
2013 Examination Priorities (PDF)
Compliance Inspections and Examinations
Category:
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 12, 2011
Title:
2011 Inventory (PDF)
Category: FAIR Act
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 10, 2011
Title:
U.S. Securities and Exchange Commission Organizational Study and Reform (PDF)
Category: Special Studies
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. 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: 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: Sept. 30, 2010
Title:
Findings Regarding the Market Events of May 6, 2010 (PDF)
Category: Special Studies
Date: Aug. 30, 2010
Title:
Analyzing Analyst Recommendations
Trading and Markets
Category: Investor Publications
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: April 27, 2010
Title:
Report on Administrative Proceedings for Period October 1, 2009 through March 31, 2010 (PDF)
Category: Special Studies
Date: March 30, 2010
Title:
2009 Report (PDF)
Category: Buy American Act
Date: Feb. 14, 2010
Title:
Congressional Justification FY 2011 in Brief (PDF)
Category: Budget Reports
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. 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. 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: 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. 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. 28, 2009
Title:
Beginners' Guide to Asset Allocation, Diversification, and Rebalancing
Category: Investor Publications
Date: July 12, 2009
Title:
2009 Inventory (PDF)
Category: FAIR Act
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 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:
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: 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: 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:
2007 Report (PDF)
Category: Buy American Act
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: 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. 15, 2007
Title:
E-Government Act Implementation Updates: FY 2007 Update (PDF)
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: May 8, 2007
Title:
Mutual Fund Investing: Look at More Than a Funds Past Performance
Category: Investor Publications
Date: April 27, 2007
Title:
Report on Administrative Proceedings for Period October 1, 2006 through March 31, 2007 (PDF)
Category: Special Studies
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 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. 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: Oct. 15, 2006
Title:
E-Government Act Implementation Updates: FY 2006 Update (PDF)
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: 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: Jan. 27, 2006
Title:
"Wrong Numbers" and Stock Tips on Your Answering Machine
Category: Investor Publications
Date: Jan. 1, 2006
Title:
2006 Annual Report — Performance and Accountability Report
Category: Annual Reports
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: 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: 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: 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: July 12, 2004
Title:
2004 Inventory (PDF)
Category: FAIR Act
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: Jan. 1, 2004
Title:
2004 Annual Report — Performance and Accountability Report
Category: Annual Reports
Date: Sept. 29, 2003
Title:
Implications of the Growth of Hedge Funds (PDF)
Investment Management
Category: Special Studies
Date: July 12, 2003
Title:
2003 Inventory (PDF)
Category: FAIR Act
Date: March 4, 2003
Title:
Holding Your Securities - Get the Facts
Category: Investor Publications
Date: Jan. 1, 2003
Title:
2003 Annual Report
Category: Annual Reports
Date: July 12, 2002
Title:
2002 Inventory (PDF)
Category: FAIR Act
Date: June 24, 2002
Title:
All About Auditors
Category: Investor Publications
Date: Jan. 1, 2002
Title:
2002 Annual Report
Category: Annual Reports
Date: July 12, 2001
Title:
2001 Inventory
Category: FAIR Act
Date: March 1, 2001
Title:
Stock Market Fraud "Survivor" Checklist
Category: Investor Publications
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: Jan. 1, 2000
Title:
2000 Annual Report
Category: Annual Reports
Date: March 30, 1999
Title:
A Plain English Handbook: How to Create Clear SEC Disclosure Documents
Category: Investor Publications
Date: Jan. 1, 1999
Title:
1999 Annual Report
Category: Annual Reports
Date: Jan. 1, 1998
Title:
1998 Annual Report (PDF)
Category: Annual Reports
Date: Jan. 1, 1997
Title:
1997 Annual Report (PDF)
Category: Annual Reports
Date: Jan. 1, 1996
Title:
1996 Annual Report (PDF)
Category: Annual Reports
Date: Jan. 1, 1995
Title:
1995 Annual Report (PDF)
Category: Annual Reports
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