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: Report on Administrative Proceedings for Period April 1, 2007 through September 30, 2007(PDF)
Category: Special Studies
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: Report Concerning Examinations of Options Order Routing and Execution(PDF)
Category: Special Studies
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