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:
Office of the Investor Advocate FY 2018 Report on Activities(PDF)
Investor Advocate |
Category: Annual Reports |
Date: |
Title:
Annual Report to Congress on Nationally Recognized Statistical Rating Organization - June 26, 2017 - June 25, 2018 (PDF)
Credit Ratings |
Category: Annual Reports |
Date: |
Title:
Fiscal Year 2018 Agency Financial Report |
Category: Annual Reports |
Date: |
Title:
2018 Annual Report to Congress on the Dodd-Frank Whistleblower Program(PDF)
Whistleblower |
Category: Annual Reports |
Date: |
Title:
Division of Enforcement 2018 Annual Report(PDF)
Enforcement |
Category: Annual Reports |
Date: |
Title:
Office of the Investor Advocate Report on Objectives for Fiscal Year 2019(PDF)
Investor Advocate |
Category: Annual Reports |
Date: |
Title:
Office of the Investor Advocate FY 2017 Report on Activities(PDF)
Investor Advocate |
Category: Annual Reports |
Date: |
Title:
2017 Annual Report to Congress on the Dodd-Frank Whistleblower Program(PDF)
Whistleblower |
Category: Annual Reports |
Date: |
Title:
Fiscal Year 2017 Agency Financial Report |
Category: Annual Reports |
Date: |
Title:
Office of the Investor Advocate Report on Objectives for Fiscal Year 2018(PDF)
Investor Advocate |
Category: Annual Reports |
Date: |
Title:
SEC OMWI FY 2016 Annual Report to Congress(PDF)
Minority and Women Inclusion |
Category: Annual Reports |
Date: |
Title:
Summary of Performance and Financial Information, Fiscal Year 2016(PDF)
|
Category: Annual Reports |
Date: |
Title:
Annual Report to Congress on Nationally Recognized Statistical Rating Organizations - June 26, 2015 – June 25, 2016 (PDF)
Credit Ratings |
Category: Annual Reports |
Date: |
Title:
Office of the Investor Advocate FY 2016 Report on Activities(PDF)
Investor Advocate |
Category: Annual Reports |
Date: |
Title:
2016 Annual Report to Congress on the Dodd-Frank Whistleblower Program(PDF)
Whistleblower |
Category: Annual Reports |
Date: |
Title:
Fiscal Year 2016 Agency Financial Report |
Category: Annual Reports |
Date: |
Title:
Office of the Investor Advocate Report on Objectives for FY 2017(PDF)
Investor Advocate |
Category: Annual Reports |
Date: |
Title:
SEC OMWI FY 2015 Annual Report to Congress(PDF)
Minority and Women Inclusion |
Category: Annual Reports |
Date: |
Title:
Summary of Performance and Financial Information, Fiscal Year 2015(PDF)
|
Category: Annual Reports |
Date: |
Title:
Annual Report to Congress on Nationally Recognized Statistical Rating Organizations - June 26, 2014 – June 25, 2015(PDF)
Credit Ratings |
Category: Annual Reports |
Date: |
Title:
Office of the Investor Advocate FY 2015 Report on Activities(PDF)
Investor Advocate |
Category: Annual Reports |
Date: |
Title:
Fiscal Year 2015 Agency Financial Report |
Category: Annual Reports |
Date: |
Title:
2015 Annual Report on the Dodd-Frank Whistleblower Program (PDF)
Whistleblower |
Category: Annual Reports |
Date: |
Title:
Office of the Investor Advocate Report on Objectives for FY 2016(PDF)
Investor Advocate |
Category: Annual Reports |
Date: |
Title:
SEC OMWI FY 2014 Annual Report to Congress(PDF)
Minority and Women Inclusion |
Category: Annual Reports |
Date: |
Title:
Summary of Performance and Financial Information, Fiscal Year 2014(PDF)
|
Category: Annual Reports |
Date: |
Title:
Annual Report to Congress - June 26, 2013 – June 25, 2014(PDF)
Credit Ratings |
Category: Annual Reports |
Date: |
Title:
2014 Annual Report on the Dodd-Frank Whistleblower Program (PDF)
Whistleblower |
Category: Annual Reports |
Date: |
Title:
Fiscal Year 2014 Agency Financial Report |
Category: Annual Reports |
Date: |
Title:
Report on Objectives - Office of the Investor Advocate(PDF)
|
Category: Annual Reports |
Date: |
Title:
SEC OMWI FY 2013 Annual Report to Congress(PDF)
Minority and Women Inclusion |
Category: Annual Reports |
Date: |
Title:
2013: Division of Investment Management Year in Review (PDF)
Investment Management |
Category: Annual Reports |
Date: |
Title:
2013 Agency Financial Report |
Category: Annual Reports |
Date: |
Title:
Annual Report to Congress - June 26, 2012 to June 25, 2013(PDF)
Credit Ratings |
Category: Annual Reports |
Date: |
Title:
2013 Annual Report on the Dodd-Frank Whistleblower Program(PDF)
Whistleblower |
Category: Annual Reports |
Date: |
Title:
Office of Minority and Women Inclusion Annual Report(PDF)
|
Category: Annual Reports |
Date: |
Title:
Summary of Performance and Financial Information, Fiscal Year 2012 (PDF)(PDF)
|
Category: Annual Reports |
Date: |
Title:
Annual Report to Congress - June 26, 2011 to June 25, 2012(PDF)
Credit Ratings |
Category: Annual Reports |
Date: |
Title:
2012 Annual Report on the Dodd-Frank Whistleblower Program(PDF)
Whistleblower |
Category: Annual Reports |
Date: |
Title:
Office of Minority and Women Inclusion Annual Report(PDF)
|
Category: Annual Reports |
Date: |
Title:
Annual Report to Congress - June 26, 2010 to June 25, 2011(PDF)
Credit Ratings |
Category: Annual Reports |
Date: |
Title:
2012 Agency Financial Report |
Category: Annual Reports |
Date: |
Title:
2011 Annual Report on the Dodd-Frank Whistleblower Program(PDF)
Whistleblower |
Category: Annual Reports |
Date: |
Title:
2011 Annual Report |
Category: Annual Reports |
Date: |
Title:
Annual Report to Congress - June 26, 2009 to June 25, 2010(PDF)
Credit Ratings |
Category: Annual Reports |
Date: |
Title:
2010 Annual Report |
Category: Annual Reports |
Date: |
Title:
Annual Report to Congress - June 26, 2008 to June 25, 2009(PDF)
Credit Ratings |
Category: Annual Reports |
Date: |
Title:
2009 Annual Report |
Category: Annual Reports |
Date: |
Title:
Annual Report to Congress - June 26, 2007 to June 25, 2008(PDF)
Credit Ratings |
Category: Annual Reports |
Date: |
Title:
2008 Annual Report — Performance and Accountability Report |
Category: Annual Reports |
Date: |
Title:
2008 Citizens’ Report |
Category: Annual Reports |
Date: |
Title:
2007 Annual Report — Performance and Accountability Report |
Category: Annual Reports |
Date: |
Title:
2006 Annual Report — Performance and Accountability Report |
Category: Annual Reports |
Date: |
Title:
2005 Annual Report — Performance and Accountability Report |
Category: Annual Reports |
Date: |
Title:
2004 Annual Report — Performance and Accountability Report |
Category: Annual Reports |
Date: |
Title:
2003 Annual Report |
Category: Annual Reports |
Date: |
Title:
2002 Annual Report |
Category: Annual Reports |
Date: |
Title:
2001 Annual Report |
Category: Annual Reports |
Date: |
Title:
2000 Annual Report |
Category: Annual Reports |
Date: |
Title:
1999 Annual Report |
Category: Annual Reports |
Date: |
Title:
1998 Annual Report(PDF)
|
Category: Annual Reports |
Date: |
Title:
1997 Annual Report(PDF)
|
Category: Annual Reports |
Date: |
Title:
1996 Annual Report(PDF)
|
Category: Annual Reports |
Date: |
Title:
1995 Annual Report(PDF)
|
Category: Annual Reports |
Date: |
Title:
1994 Annual Report(PDF)
|
Category: Annual Reports |
Date: |
Title:
1993 Annual Report(PDF)
|
Category: Annual Reports |
Date: |
Title:
1992 Annual Report(PDF)
|
Category: Annual Reports |
Date: |
Title:
1991 Annual Report(PDF)
|
Category: Annual Reports |
Date: |
Title:
1990 Annual Report(PDF)
|
Category: Annual Reports |
Date: |
Title:
1989 Annual Report(PDF)
|
Category: Annual Reports |
Date: |
Title:
1988 Annual Report(PDF)
|
Category: Annual Reports |
Date: |
Title:
1987 Annual Report(PDF)
|
Category: Annual Reports |
Date: |
Title:
1986 Annual Report(PDF)
|
Category: Annual Reports |
Date: |
Title:
1985 Annual Report(PDF)
|
Category: Annual Reports |
Date: |
Title:
1984 Annual Report(PDF)
|
Category: Annual Reports |
Date: |
Title:
1983 Annual Report(PDF)
|
Category: Annual Reports |
Date: |
Title:
1982 Annual Report(PDF)
|
Category: Annual Reports |
Date: |
Title:
1981 Annual Report(PDF)
|
Category: Annual Reports |
Date: |
Title:
1980 Annual Report(PDF)
|
Category: Annual Reports |
Date: |
Title:
1979 Annual Report(PDF)
|
Category: Annual Reports |
Date: |
Title:
1978 Annual Report(PDF)
|
Category: Annual Reports |
Date: |
Title:
1977 Annual Report(PDF)
|
Category: Annual Reports |
Date: |
Title:
1976 Annual Report(PDF)
|
Category: Annual Reports |
Date: |
Title:
1975 Annual Report(PDF)
|
Category: Annual Reports |
Date: |
Title:
1974 Annual Report(PDF)
|
Category: Annual Reports |
Date: |
Title:
1973 Annual Report(PDF)
|
Category: Annual Reports |
Date: |
Title:
1972 Annual Report(PDF)
|
Category: Annual Reports |
Date: |
Title:
1971 Annual Report(PDF)
|
Category: Annual Reports |
Date: |
Title:
1970 Annual Report(PDF)
|
Category: Annual Reports |
Date: |
Title:
1969 Annual Report(PDF)
|
Category: Annual Reports |
Date: |
Title:
1968 Annual Report(PDF)
|
Category: Annual Reports |
Date: |
Title:
1967 Annual Report(PDF)
|
Category: Annual Reports |
Date: |
Title:
1966 Annual Report(PDF)
|
Category: Annual Reports |
Date: |
Title:
1965 Annual Report(PDF)
|
Category: Annual Reports |
Date: |
Title:
1964 Annual Report(PDF)
|
Category: Annual Reports |
Date: |
Title:
1963 Annual Report(PDF)
|
Category: Annual Reports |
Date: |
Title:
1962 Annual Report(PDF)
|
Category: Annual Reports |
Date: |
Title:
1961 Annual Report(PDF)
|
Category: Annual Reports |
Date: |
Title:
1960 Annual Report(PDF)
|
Category: Annual Reports |
Date: |
Title:
1959 Annual Report(PDF)
|
Category: Annual Reports |
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