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Reports and Publications

Reports and Publications


 
This listing includes common periodic SEC reports.

Note: For periodic FOIA reports on Alternative Trading Systems, Fails-to-Deliver Data, Registered Investment Advisers and Broker Dealers, see Frequently Requested FOIA Documents. For occasional reports on current trends and issues facing the securities industry, see SEC Special Studies.

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Date Title Category
Dec. 19, 2016 Invest Wisely: An Introduction to Mutual Funds Investor Publications
Dec. 7, 2016 International Investing Investor Publications
Dec. 7, 2015 How the SEC Handles Your Complaint (PDF)
Investor Education and Advocacy
Investor Publications
Feb. 27, 2014 Q&A: Small Business and the SEC Investor Publications
Feb. 19, 2014 Identity Theft: Learn How To Protect Yourself Investor Publications
Feb. 19, 2014 Understanding Investment Professional Designations (tips from FINRA) Investor Publications
Jan. 12, 2014 Beginners' Guide to Financial Statements
Investor Education and Advocacy
Investor Publications
Oct. 9, 2013 Affinity Fraud: How to Avoid Investment Scams That Target Group Investor Publications
Sept. 18, 2013 Microcap Stock: A Guide for Investors Investor Publications
Sept. 5, 2013 "Phishing" Fraud: How to Avoid Getting Fried by Phony Phishermen Investor Publications
April 19, 2013 A Guide for Seniors: Protect Yourself Against Investment Fraud (PDF) Investor Publications
Jan. 16, 2013 Trade Execution: What Every Investor Should Know Investor Publications
Jan. 16, 2013 Investment Clubs and the SEC Investor Publications
Jan. 16, 2013 Rule 144: Selling Restricted and Control Securities Investor Publications
Dec. 4, 2012 Researching the Federal Securities Laws Through the SEC Website Investor Publications
Sept. 24, 2012 Guide to Insider Trading: Online Publications at the SE Investor Publications
Aug. 8, 2012 Introduction to 529 Plans Investor Publications
Aug. 7, 2012 Investment Advisers: What You Need to Know Before Choosing One Investor Publications
Jan. 24, 2012 Protect Your Money: Check Out Brokers and Investment Advisers Investor Publications
Jan. 19, 2012 Researchers and Librarians—Easy Access to Selected Securities and Investor Information at the SEC Investor Publications
Oct. 6, 2011 “Mutual-to-Stock” Conversions: Tips for Investor Investor Publications
April 18, 2011 Variable Annuities: What You Should Know Investor Publications
March 4, 2011 SEC Complaint Center Investor Publications
Feb. 16, 2011 About the SEC’s Office of Investor Education and Advocacy Investor Publications
Feb. 1, 2011 Internet Fraud: How to Avoid Internet Investment Scams Investor Publications
Aug. 30, 2010 Analyzing Analyst Recommendations
Trading and Markets
Investor Publications
Aug. 10, 2010 The SEC Mutual Fund Cost Calculator: A Tool for Comparing Mutual Funds Investor Publications
Dec. 14, 2009 Five Questions to Ask Before You Invest Investor Publications
Dec. 2, 2009 Taking Stock: Getting Your Fiscal Act Together Investor Publications
Dec. 2, 2009 Fake Seals and Phony Numbers: How Fraudsters Try to Look Legit Investor Publications
Dec. 2, 2009 Beginners’ Guide to Investing Investor Publications
Dec. 2, 2009 Complaints and Questions Investor Publications
Dec. 2, 2009 SIPC Exposes Phony "Look-Alike" Web Site
Enforcement
Investor Publications
Nov. 18, 2009 Cold Calling: Unsolicited Calls from Brokers Investor Publications
Nov. 12, 2009 Guide to Identifying and Avoiding Securities Fraud Investor Publications
Oct. 6, 2009 Compliance Guide to the Registration and Regulation of Brokers and Dealers Investor Publications
Aug. 28, 2009 Beginners' Guide to Asset Allocation, Diversification, and Rebalancing Investor Publications
June 9, 2009 All About Auto-trading Investor Publications
June 9, 2009 How To Avoid Fraud Investor Publications
June 1, 2009 Warning to All Investors About Bogus "Prime Bank" and Other Banking-Related Investment Schemes Investor Publications
May 6, 2009 Ultra-Short Bond Funds: Know Where You're Parking Your Money Investor Publications
April 21, 2009 Beginners’ Guide to Mutual Funds Investor Publications
April 17, 2009 Margin: Borrowing Money to Pay for Stocks Investor Publications
April 17, 2009 Broken Promises: Promissory Note Fraud Investor Publications
April 16, 2009 Transferring your Brokerage Account: Tips on Avoiding Delays Investor Publications
March 17, 2009 Execution Quality Statistics: How to Find Information on Order Execution and Routing Practices Investor Publications
Feb. 27, 2009 "Senior" Specialists and Advisors: What you should know about professional designations Investor Publications
Feb. 27, 2009 Online Brokerage Accounts: What You Can Do to Safeguard Your Money and Your Personal Information Investor Publications
Feb. 4, 2009 The Fleecing of Foreign Investors: Avoid Getting Burned by "Hot" U.S. Stocks Investor Publications
Feb. 3, 2009 Bankruptcy: What Happens When Public Companies Go Bankrupt Investor Publications
Dec. 3, 2008 High-Yield CDs: Protect Your Money by Checking the Fine Print Investor Publications
Nov. 4, 2008 After-Hours Trading: Understanding the Risks Investor Publications
July 14, 2008 Promissory Notes: Promises, Problems (PDF) Investor Publications
July 1, 2008 Getting Info About Companies Investor Publications
June 9, 2008 Evaluating Your Retirement Options: The 403(b) Plan Investor Publications
March 24, 2008 Investment Choices and Methods Investor Publications
Jan. 31, 2008 Mini-Tender Offers: Tips for Investors Investor Publications
Aug. 15, 2007 Avoiding Internet Investment Scams: Tips for Investors Investor Publications
Aug. 1, 2007 Oil and Gas Scams: Common Red Flags and Steps You Can Take to Protect Yoursel Investor Publications
Aug. 1, 2007 Periodic Payment Plans Investor Publications
Aug. 1, 2007 Privacy Choices for Your Personal Financial Information Investor Publications
Aug. 1, 2007 "Pro Forma" Financial Information: Tips for Investors Investor Publications
Aug. 1, 2007 Pregunte (folleto en Espanol) ("Ask Questions" brochure in Spanish) Investor Publications
Aug. 1, 2007 Invest Wisely: Advice From Your Securities Industry Regulators Investor Publications
Aug. 1, 2007 Get the Facts on Saving and Investing Investor Publications
Aug. 1, 2007 Ask Questions: Questions You Should Ask About Your Investments and What To Do If You Run Into Problems Investor Publications
Aug. 1, 2007 Tips for Online Investing: What You Need to Know About Trading In Fast-Moving Markets Investor Publications
July 31, 2007 Form for Taking Notes Investor Publications
May 8, 2007 Mutual Fund Investing: Look at More Than a Fund’s Past Performance Investor Publications
Feb. 5, 2007 Beginners' Guide to Financial Statement Investor Publications
April 3, 2006 Lump Sum Payouts: Questions You Should Ask Yourself Before You Invest a Dime Investor Publications
Feb. 27, 2006 Auto-Surfing: What You Need to Kno Investor Publications
Jan. 27, 2006 "Wrong Numbers" and Stock Tips on Your Answering Machine Investor Publications
Oct. 17, 2005 Worthless Stock: How to Avoid Doubling Your Losses Investor Publications
June 1, 2005 Selecting and Monitoring Pension Consultants: Tips for Plan Fiduciaries Investor Publications
April 20, 2005 Day Trading: Your Dollars at Risk Investor Publications
April 11, 2005 "High Yields" and Hot Air Investor Publications
Jan. 18, 2005 Mutual Fund Proxy Voting Records and Policies Investor Publications
Jan. 11, 2005 Pump&Dump.con: Tips for Avoiding Stock Scams on the Internet Investor Publications
Jan. 11, 2005 Risky Business: "Pre-IPO [Initial Public Offering]" Investing Investor Publications
June 9, 2004 Variable Annuities and Variable Life Products: Questions to As Investor Publications
May 21, 2004 About Settling Trades In Three Days: Introducing T+3 Investor Publications
March 4, 2003 Holding Your Securities— - Get the Facts Investor Publications
June 24, 2002 All About Auditors Investor Publications
March 1, 2001 Stock Market Fraud "Survivor" Checklist Investor Publications
March 30, 1999 A Plain English Handbook: How to Create Clear SEC Disclosure Documents Investor Publications
  

Date

Date: Dec. 19, 2016

Title: Invest Wisely: An Introduction to Mutual Funds

Category: Investor Publications

Date: Dec. 7, 2016

Title: International Investing

Category: Investor Publications

Date: Dec. 7, 2015

Title: How the SEC Handles Your Complaint (PDF)

Category: Investor Publications

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: Jan. 12, 2014

Title: Beginners' Guide to Financial Statements

Category: Investor Publications

Date: Oct. 9, 2013

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

Category: Investor Publications

Date: Sept. 18, 2013

Title: Microcap Stock: A Guide for Investors

Category: Investor Publications

Date: Sept. 5, 2013

Title: "Phishing" Fraud: How to Avoid Getting Fried by Phony Phishermen

Category: Investor Publications

Date: April 19, 2013

Title: A Guide for Seniors: Protect Yourself Against Investment Fraud (PDF)

Category: Investor Publications

Date: Jan. 16, 2013

Title: Trade Execution: What Every Investor Should Know

Category: Investor Publications

Date: Jan. 16, 2013

Title: Investment Clubs and the SEC

Category: Investor Publications

Date: Jan. 16, 2013

Title: Rule 144: Selling Restricted and Control Securities

Category: Investor Publications

Date: Dec. 4, 2012

Title: Researching the Federal Securities Laws Through the SEC Website

Category: Investor Publications

Date: Sept. 24, 2012

Title: Guide to Insider Trading: Online Publications at the SE

Category: Investor Publications

Date: Aug. 8, 2012

Title: Introduction to 529 Plans

Category: Investor Publications

Date: Aug. 7, 2012

Title: Investment Advisers: What You Need to Know Before Choosing One

Category: Investor Publications

Date: Jan. 24, 2012

Title: Protect Your Money: Check Out Brokers and Investment Advisers

Category: Investor Publications

Date: Oct. 6, 2011

Title: “Mutual-to-Stock” Conversions: Tips for Investor

Category: Investor Publications

Date: April 18, 2011

Title: Variable Annuities: What You Should Know

Category: Investor Publications

Date: March 4, 2011

Title: SEC Complaint Center

Category: Investor Publications

Date: Feb. 16, 2011

Title: About the SEC’s Office of Investor Education and Advocacy

Category: Investor Publications

Date: Feb. 1, 2011

Title: Internet Fraud: How to Avoid Internet Investment Scams

Category: Investor Publications

Date: Aug. 30, 2010

Title: Analyzing Analyst Recommendations

Category: Investor Publications

Date: Aug. 10, 2010

Title: The SEC Mutual Fund Cost Calculator: A Tool for Comparing Mutual Funds

Category: Investor Publications

Date: Dec. 14, 2009

Title: Five Questions to Ask Before You Invest

Category: Investor Publications

Date: Dec. 2, 2009

Title: Taking Stock: Getting Your Fiscal Act Together

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: Beginners’ Guide to Investing

Category: Investor Publications

Date: Dec. 2, 2009

Title: Complaints and Questions

Category: Investor Publications

Date: Dec. 2, 2009

Title: SIPC Exposes Phony "Look-Alike" Web Site

Category: Investor Publications

Date: Nov. 18, 2009

Title: Cold Calling: Unsolicited Calls from Brokers

Category: Investor Publications

Date: Nov. 12, 2009

Title: Guide to Identifying and Avoiding Securities Fraud

Category: Investor Publications

Date: Oct. 6, 2009

Title: Compliance Guide to the Registration and Regulation of Brokers and Dealers

Category: Investor Publications

Date: Aug. 28, 2009

Title: Beginners' Guide to Asset Allocation, Diversification, and Rebalancing

Category: Investor Publications

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: May 6, 2009

Title: Ultra-Short Bond Funds: Know Where You're Parking Your Money

Category: Investor Publications

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 17, 2009

Title: Broken Promises: Promissory Note Fraud

Category: Investor Publications

Date: April 16, 2009

Title: Transferring your Brokerage Account: Tips on Avoiding Delays

Category: Investor Publications

Date: Feb. 27, 2009

Title: "Senior" Specialists and Advisors: What you should know about professional designations

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: Dec. 3, 2008

Title: High-Yield CDs: Protect Your Money by Checking the Fine Print

Category: Investor Publications

Date: Nov. 4, 2008

Title: After-Hours Trading: Understanding the Risks

Category: Investor Publications

Date: July 14, 2008

Title: Promissory Notes: Promises, Problems (PDF)

Category: Investor Publications

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: March 24, 2008

Title: Investment Choices and Methods

Category: Investor Publications

Date: Jan. 31, 2008

Title: Mini-Tender Offers: Tips for Investors

Category: Investor Publications

Date: Aug. 15, 2007

Title: Avoiding Internet Investment Scams: 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: "Pro Forma" Financial Information: Tips for Investors

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: Invest Wisely: Advice From Your Securities Industry Regulators

Category: Investor Publications

Date: Aug. 1, 2007

Title: Get the Facts on Saving and Investing

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 Fund’s Past Performance

Category: Investor Publications

Date: Feb. 5, 2007

Title: Beginners' Guide to Financial Statement

Category: Investor Publications

Date: April 3, 2006

Title: Lump Sum Payouts: Questions You Should Ask Yourself Before You Invest a Dime

Category: Investor Publications

Date: Feb. 27, 2006

Title: Auto-Surfing: What You Need to Kno

Category: Investor Publications

Date: Jan. 27, 2006

Title: "Wrong Numbers" and Stock Tips on Your Answering Machine

Category: Investor Publications

Date: Oct. 17, 2005

Title: Worthless Stock: How to Avoid Doubling Your Losses

Category: Investor Publications

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: 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: June 9, 2004

Title: Variable Annuities and Variable Life Products: Questions to As

Category: Investor Publications

Date: May 21, 2004

Title: About Settling Trades In Three Days: Introducing T+3

Category: Investor Publications

Date: March 4, 2003

Title: Holding Your Securities— - Get the Facts

Category: Investor Publications

Date: June 24, 2002

Title: All About Auditors

Category: Investor Publications

Date: March 1, 2001

Title: Stock Market Fraud "Survivor" Checklist

Category: Investor Publications

Date: March 30, 1999

Title: A Plain English Handbook: How to Create Clear SEC Disclosure Documents

Category: Investor Publications

 
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