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 Report on Objectives for Fiscal Year 2020(PDF)
Investor Advocate 		Category: Annual Reports
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
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