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: Report on Administrative Proceedings for the Period April 1, 2011 through September 30, 2011(PDF)
Category: Special Studies
Date: Title: 2011 Summary Report of Commission Staff's Examinations of Each Nationally Recognized Statistical Rating Organization(PDF)
Category: Special Studies
Date: Title: Report on the Implementation of SEC Organizational Reform Recommendations(PDF)
Category: Special Studies
Date: Title: Staff Summary Report on Issues Identified in Examinations of Certain Structured Securities Products Sold to Retail Investors(PDF)
Category: Special Studies
Date: Title: Report on Review of Reliance on Credit Ratings(PDF)
Category: Special Studies
Date: 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: Title: Report on Administrative Proceedings for the Period October 1, 2010 through March 31, 2011(PDF)
Category: Special Studies
Date: Title: Joint Study on the Feasibility of Mandating Algorithmic Descriptions for Derivatives(PDF)
Category: Special Studies
Date: Title: U.S. Securities and Exchange Commission Organizational Study and Reform(PDF)
Category: Special Studies
Date: Title: Study and Recommendations on Improved Investor Access to Registration Information About Investment Advisers and Broker-Dealers(PDF)
Category: Special Studies
Date: Title: Study on Investment Advisers and Broker-Dealers
Category: Special Studies
Date: Title: Staff Study on Enhancing Investment Adviser Examinations
Category: Special Studies
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