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 Adviers 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
Oct. 30, 2009 Report on Administrative Proceedings for Period April 1, 2009 through September 30, 2009 (pdf)
Special Studies
Sept. 4, 2009 Executive Summary: Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme (pdf)
Special Studies
Sept. 4, 2009 Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme
Special Studies
April 28, 2009 Report on Administrative Proceedings for Period October 1, 2008 through March 31, 2009 (pdf)
Special Studies
  
  
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