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: 2017 Report and Certification of Internal Supervisory Controls(PDF)
Category: Internal Supervisory Controls
Date: Title: 2016 Report and Certification(PDF)
Category: Internal Supervisory Controls
Date: Title: 2015 Report and Certification(PDF)
Category: Internal Supervisory Controls
Date: Title: 2014 Report and Certification (PDF)
Category: Internal Supervisory Controls
Date: Title: 2013 Report and Certification (PDF)
Category: Internal Supervisory Controls
Date: Title: 2012 Report and Certification(PDF)
Category: Internal Supervisory Controls
Date: Title: 2011 Report and Certification(PDF)
Category: Internal Supervisory Controls