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
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: Findings Regarding the Market Events of May 6, 2010(PDF)
Category: Special Studies
Date: Title: Life Settlements Task Force: Staff Report to the United States Securities and Exchange Commission(PDF)
Category: Special Studies
Date: Title: Report on Administrative Proceedings for Period October 1, 2009 through March 31, 2010(PDF)
Category: Special Studies
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