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: Dec. 18, 2012
Title:
Assigned Credit Ratings (PDF)
Category: Special Studies
Date: Nov. 15, 2012
Title:
2012 Summary Report of Commission Staffs Examinations of Each Nationally Recognized Statistical Rating Organization (PDF)
Category: Special Studies
Date: Oct. 25, 2012
Title:
Report on Administrative Proceedings for the Period April 1, 2012 through September 30, 2012 (PDF)
Category: Special Studies
Date: Oct. 17, 2012
Title:
Third Report on the Implementation of SEC Organizational Reform Recommendations (PDF)
Category: Special Studies
Date: Oct. 16, 2012
Title:
JOBS Act Section 504 Report on Authority to Enforce Exchange Act Rule 12g5-1 and Subsection (b)(3) (PDF)
Category: Special Studies
Date: Sept. 7, 2012
Title:
Report on Credit Rating Standardization (PDF)
Category: Special Studies
Date: Aug. 30, 2012
Title:
SEC Staff Study Regarding Financial Literacy Among Investors
Category: Special Studies
Date: July 31, 2012
Title:
Report on the Municipal Securities Market (PDF)
Category: Special Studies
Date: July 20, 2012
Title:
JOBS Act Section 106 Report to Congress on Decimalization (PDF)
Category: Special Studies
Date: April 30, 2012
Title:
Report on Administrative Proceedings for the Period October 1, 2011 through March 31, 2012 (PDF)
Category: Special Studies
Date: April 11, 2012
Title:
Study on the Cross-Border Scope of the Private Right of Action Under Section 10(b) of the Securities Exchange Act of 1934
Category: Special Studies
Date: March 30, 2012
Title:
Report on the Implementation of SEC Organizational Reform Recommendations (PDF)
Category: Special Studies
Date: Feb. 1, 2012
Title:
Joint Report on International Swap Regulation (PDF)
Category: Special Studies
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