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: Assigned Credit Ratings(PDF)
Category: Special Studies
Date: Title: 2012 Summary Report of Commission StaffÂ’s Examinations of Each Nationally Recognized Statistical Rating Organization(PDF)
Category: Special Studies
Date: Title: Report on Administrative Proceedings for the Period April 1, 2012 through September 30, 2012(PDF)
Category: Special Studies
Date: Title: Third Report on the Implementation of SEC Organizational Reform Recommendations(PDF)
Category: Special Studies
Date: Title: JOBS Act Section 504 Report on Authority to Enforce Exchange Act Rule 12g5-1 and Subsection (b)(3)(PDF)
Category: Special Studies
Date: Title: Report on Credit Rating Standardization(PDF)
Category: Special Studies
Date: Title: SEC Staff Study Regarding Financial Literacy Among Investors
Category: Special Studies
Date: Title: Report on the Municipal Securities Market(PDF)
Category: Special Studies
Date: Title: JOBS Act Section 106 Report to Congress on Decimalization(PDF)
Category: Special Studies
Date: Title: Report on Administrative Proceedings for the Period October 1, 2011 through March 31, 2012(PDF)
Category: Special Studies
Date: 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: Title: Report on the Implementation of SEC Organizational Reform Recommendations(PDF)
Category: Special Studies
Date: Title: Joint Report on International Swap Regulation(PDF)
Category: Special Studies
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