This listing includes periodic SEC reports and publications. See also FOIA Frequently Requested Documents and SEC Data Resources for periodic data reports and updates. For occasional reports on current trends and issues facing the securities industry, choose “Special Studies” from the “Category” field below.

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Date
Title
Category
Date: Title: FY21 Enforcement Results(PDF)
Enforcement 		Category: Annual Reports
Date: Title: 2021 Annual Report to Congress on the Dodd-Frank Whistleblower Program(PDF)
Whistleblower 		Category: Annual Reports
Date: Title: 2021 Agency Financial Report
 Category: Annual Reports
Date: Title: 2021 OASB Annual Forum Report(PDF)
Advocate for Small Business Capital Formation 		Category: Annual Reports
Date: Title: Office of the Investor Advocate Report on Objectives for Fiscal Year 2022(PDF)
Investor Advocate 		Category: Annual Reports
Date: Title: FY20 Annual No FEAR Act Report to Congress(PDF)
Equal Employment Opportunity 		Category: Annual Reports
Date: Title: Annual Equal Employment Opportunity Program Status Report 2019 (PDF) Equal Employment Opportunity(PDF)
Equal Employment Opportunity 		Category: Annual Reports
Date: Title: Office of the Investor Advocate Report on Activities for FY 2020(PDF)
Investor Advocate 		Category: Annual Reports
Date: Title: Annual Report to Congress on Nationally Recognized Statistical Rating Organizations - June 26, 2019 - June 25, 2020(PDF)
Credit Ratings 		Category: Annual Reports
Date: Title: 2020 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization(PDF)
Credit Ratings 		Category: Annual Reports
Date: Title: 2020 OASB Annual Report (PDF)
Advocate for Small Business Capital Formation 		Category: Annual Reports
Date: Title: 2020 Annual Report to Congress on the Dodd-Frank Whistleblower Program(PDF)
Whistleblower 		Category: Annual Reports
Date: Title: 2020 Agency Financial Report
 Category: Annual Reports
Date: Title: Division of Enforcement 2020 Annual Report(PDF)
Enforcement 		Category: Annual Reports
Date: Title: Office of the Investor Advocate Report on Objectives for Fiscal Year 2021(PDF)
Investor Advocate 		Category: Annual Reports
Date: Title: SEC OMWI FY 2019 Annual Report to Congress(PDF)
Minority and Women Inclusion 		Category: Annual Reports
Date: Title: 2019 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization(PDF)
Credit Ratings 		Category: Annual Reports
Date: Title: Annual Report to Congress on Nationally Recognized Statistical Rating Organizations - June 26, 2018 - June 25, 2019 (PDF)
Credit Ratings 		Category: Annual Reports
Date: Title: Office of the Investor Advocate Report on Activities for FY 2019(PDF)
Investor Advocate 		Category: Annual Reports
Date: Title: 2019 OASB Final Report(PDF)
Advocate for Small Business Capital Formation 		Category: Annual Reports
Date: Title: 2019 Annual Report to Congress on the Dodd-Frank Whistleblower Program(PDF)
Whistleblower 		Category: Annual Reports
Date: Title: Fiscal Year 2019 Agency Financial Report
 Category: Annual Reports
Date: Title: Division of Enforcement 2019 Annual Report(PDF)
Enforcement 		Category: Annual Reports
Date: Title: Office of the Investor Advocate Report on Objectives for Fiscal Year 2020(PDF)
Investor Advocate 		Category: Annual Reports
Date: Title: SEC OMWI FY 2018 Annual Report to Congress(PDF)
Minority and Women Inclusion 		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: SEC OMWI FY 2017 Annual Report to Congress(PDF)
Minority and Women Inclusion 		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
Date: Title: 1958 Annual Report(PDF)
Category: Annual Reports
Date: Title: 1957 Annual Report(PDF)
Category: Annual Reports
Date: Title: 1956 Annual Report(PDF)
Category: Annual Reports
Date: Title: 1955 Annual Report(PDF)
Category: Annual Reports
Date: Title: 1954 Annual Report(PDF)
Category: Annual Reports
Date: Title: 1953 Annual Report(PDF)
Category: Annual Reports
Date: Title: 1952 Annual Report(PDF)
Category: Annual Reports
Date: Title: 1951 Annual Report(PDF)
Category: Annual Reports
Date: Title: 1950 Annual Report(PDF)
Category: Annual Reports
Date: Title: 1949 Annual Report(PDF)
Category: Annual Reports
Date: Title: 1948 Annual Report(PDF)
Category: Annual Reports
Date: Title: 1947 Annual Report(PDF)
Category: Annual Reports
Date: Title: 1946 Annual Report(PDF)
Category: Annual Reports
Date: Title: 1945 Annual Report(PDF)
Category: Annual Reports
Date: Title: 1944 Annual Report(PDF)
Category: Annual Reports
Date: Title: 1943 Annual Report(PDF)
Category: Annual Reports
Date: Title: 1942 Annual Report(PDF)
Category: Annual Reports
Date: Title: 1941 Annual Report(PDF)
Category: Annual Reports
Date: Title: 1940 Annual Report(PDF)
Category: Annual Reports
Date: Title: 1939 Annual Report(PDF)
Category: Annual Reports
Date: Title: 1938 Annual Report(PDF)
Category: Annual Reports
Date: Title: 1937 Annual Report(PDF)
Category: Annual Reports
Date: Title: 1936 Annual Report(PDF)
Category: Annual Reports
Date: Title: 1935 Annual Report(PDF)
Category: Annual Reports
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