Reports and Publications

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.

Date Title Category
2024 Report and Certification of Internal Supervisory Controls (PDF) Internal Supervisory Controls
2023 Report and Certification of Internal Supervisory Controls (PDF) Internal Supervisory Controls
2022 Report and Certification of Internal Supervisory Controls (PDF) Internal Supervisory Controls
2021 Report and Certification of Internal Supervisory Controls (PDF) Internal Supervisory Controls
2020 Report and Certification of Internal Supervisory Controls (PDF) Internal Supervisory Controls
2019 Report and Certification of Internal Supervisory Controls (PDF) Internal Supervisory Controls
2018 Report and Certification of Internal Supervisory Controls (PDF) Internal Supervisory Controls
2017 Report and Certification of Internal Supervisory Controls (PDF) Internal Supervisory Controls
2016 Report and Certification (PDF) Internal Supervisory Controls
2015 Report and Certification (PDF) Internal Supervisory Controls
2014 Report and Certification (PDF) Internal Supervisory Controls
2013 Report and Certification (PDF) Internal Supervisory Controls
2012 Report and Certification (PDF) Internal Supervisory Controls
2011 Report and Certification (PDF) Internal Supervisory Controls
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