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: Complaints and Questions
Category: Investor Publications
Date: Title: Invest Wisely: An Introduction to Mutual Funds
Category: Investor Publications
Date: Title: International Investing
Category: Investor Publications
Date: Title: How the SEC Handles Your Complaint(PDF)
Investor Education and Advocacy
Category: Investor Publications
Date: Title: Q&A: Small Business and the SEC
Category: Investor Publications
Date: Title: Identity Theft: Learn How To Protect Yourself
Category: Investor Publications
Date: Title: Understanding Investment Professional Designations (tips from FINRA)
Category: Investor Publications
Date: Title: Beginners' Guide to Financial Statements
Investor Education and Advocacy
Category: Investor Publications
Date: Title: Affinity Fraud: How to Avoid Investment Scams That Target Group
Category: Investor Publications
Date: Title: Microcap Stock: A Guide for Investors
Category: Investor Publications
Date: Title: "Phishing" Fraud: How to Avoid Getting Fried by Phony Phishermen
Category: Investor Publications
Date: Title: A Guide for Seniors: Protect Yourself Against Investment Fraud(PDF)
Category: Investor Publications
Date: Title: Investment Clubs and the SEC
Category: Investor Publications
Date: Title: Rule 144: Selling Restricted and Control Securities
Category: Investor Publications
Date: Title: Trade Execution: What Every Investor Should Know
Category: Investor Publications
Date: Title: Researching the Federal Securities Laws Through the SEC Website
Category: Investor Publications
Date: Title: Guide to Insider Trading: Online Publications at the SE
Category: Investor Publications
Date: Title: Introduction to 529 Plans
Category: Investor Publications
Date: Title: Investment Advisers: What You Need to Know Before Choosing One
Category: Investor Publications
Date: Title: Protect Your Money: Check Out Brokers and Investment Advisers
Category: Investor Publications
Date: Title: Researchers and Librarians—Easy Access to Selected Securities and Investor Information at the SEC
Category: Investor Publications
Date: Title: “Mutual-to-Stock” Conversions: Tips for Investor
Category: Investor Publications
Date: Title: Variable Annuities: What You Should Know
Category: Investor Publications
Date: Title: SEC Complaint Center
Category: Investor Publications
Date: Title: About the SEC’s Office of Investor Education and Advocacy
Category: Investor Publications
Date: Title: Internet Fraud: How to Avoid Internet Investment Scams
Category: Investor Publications
Date: Title: Analyzing Analyst Recommendations
Trading and Markets
Category: Investor Publications
Date: Title: The SEC Mutual Fund Cost Calculator: A Tool for Comparing Mutual Funds
Category: Investor Publications
Date: Title: Five Questions to Ask Before You Invest
Category: Investor Publications
Date: Title: Beginners’ Guide to Investing
Category: Investor Publications
Date: Title: Fake Seals and Phony Numbers: How Fraudsters Try to Look Legit
Category: Investor Publications
Date: Title: SIPC Exposes Phony "Look-Alike" Web Site
Enforcement
Category: Investor Publications
Date: Title: Taking Stock: Getting Your Fiscal Act Together
Category: Investor Publications
Date: Title: Cold Calling: Unsolicited Calls from Brokers
Category: Investor Publications
Date: Title: Guide to Identifying and Avoiding Securities Fraud
Category: Investor Publications
Date: Title: Compliance Guide to the Registration and Regulation of Brokers and Dealers
Category: Investor Publications
Date: Title: Beginners' Guide to Asset Allocation, Diversification, and Rebalancing
Category: Investor Publications
Date: Title: All About Auto-Trading
Category: Investor Publications
Date: Title: How To Avoid Fraud
Category: Investor Publications
Date: Title: Warning to All Investors About Bogus "Prime Bank" and Other Banking-Related Investment Schemes
Category: Investor Publications
Date: Title: Ultra-Short Bond Funds: Know Where You're Parking Your Money
Category: Investor Publications
Date: Title: Beginners’ Guide to Mutual Funds
Category: Investor Publications
Date: Title: Margin: Borrowing Money to Pay for Stocks
Category: Investor Publications
Date: Title: Broken Promises: Promissory Note Fraud
Category: Investor Publications
Date: Title: Transferring your Brokerage Account: Tips on Avoiding Delays
Category: Investor Publications
Date: Title: Execution Quality Statistics: How to Find Information on Order Execution and Routing Practices
Category: Investor Publications
Date: Title: "Senior" Specialists and Advisors: What You Should Know About Professional Designations
Category: Investor Publications
Date: Title: Online Brokerage Accounts: What You Can Do to Safeguard Your Money and Your Personal Information
Category: Investor Publications
Date: Title: The Fleecing of Foreign Investors: Avoid Getting Burned by "Hot" U.S. Stocks
Category: Investor Publications
Date: Title: Bankruptcy: What Happens When Public Companies Go Bankrupt
Category: Investor Publications
Date: Title: High-Yield CDs: Protect Your Money by Checking the Fine Print
Category: Investor Publications
Date: Title: After-Hours Trading: Understanding the Risks
Category: Investor Publications
Date: Title: Promissory Notes: Promises, Problems(PDF)
Category: Investor Publications
Date: Title: Getting Info About Companies
Category: Investor Publications
Date: Title: Evaluating Your Retirement Options: The 403(b) Plan
Category: Investor Publications
Date: Title: Investment Choices and Methods
Category: Investor Publications
Date: Title: Mini-Tender Offers: Tips for Investors
Category: Investor Publications
Date: Title: Avoiding Internet Investment Scams: Tips for Investors
Category: Investor Publications
Date: Title: "Pro Forma" Financial Information: Tips for Investors
Category: Investor Publications
Date: Title: Oil and Gas Scams: Common Red Flags and Steps You Can Take to Protect Yoursel
Category: Investor Publications
Date: Title: Periodic Payment Plans
Category: Investor Publications
Date: Title: Privacy Choices for Your Personal Financial Information
Category: Investor Publications
Date: Title: Ask Questions: Questions You Should Ask About Your Investments and What To Do If You Run Into Problems
Category: Investor Publications
Date: Title: Get the Facts on Saving and Investing
Category: Investor Publications
Date: Title: Invest Wisely: Advice From Your Securities Industry Regulators
Category: Investor Publications
Date: Title: Pregunte (folleto en Espanol) ("Ask Questions" brochure in Spanish)
Category: Investor Publications
Date: Title: Tips for Online Investing: What You Need to Know About Trading In Fast-Moving Markets
Category: Investor Publications
Date: Title: Form for Taking Notes
Category: Investor Publications
Date: Title: Mutual Fund Investing: Look at More Than a Fund’s Past Performance
Category: Investor Publications
Date: Title: Beginners' Guide to Financial Statement
Category: Investor Publications
Date: Title: Lump Sum Payouts: Questions You Should Ask Yourself Before You Invest a Dime
Category: Investor Publications
Date: Title: Auto-Surfing: What You Need to Kno
Category: Investor Publications
Date: Title: "Wrong Numbers" and Stock Tips on Your Answering Machine
Category: Investor Publications
Date: Title: Worthless Stock: How to Avoid Doubling Your Losses
Category: Investor Publications
Date: Title: Selecting and Monitoring Pension Consultants: Tips for Plan Fiduciaries
Category: Investor Publications
Date: Title: Day Trading: Your Dollars at Risk
Category: Investor Publications
Date: Title: "High Yields" and Hot Air
Category: Investor Publications
Date: Title: Mutual Fund Proxy Voting Records and Policies
Category: Investor Publications
Date: Title: Pump&Dump.con: Tips for Avoiding Stock Scams on the Internet
Category: Investor Publications
Date: Title: Risky Business: "Pre-IPO [Initial Public Offering]" Investing
Category: Investor Publications
Date: Title: Variable Annuities and Variable Life Products: Questions to Ask
Category: Investor Publications
Date: Title: About Settling Trades In Three Days: Introducing T+3
Category: Investor Publications
Date: Title: Holding Your Securities— - Get the Facts
Category: Investor Publications
Date: Title: All About Auditors
Category: Investor Publications
Date: Title: Stock Market Fraud "Survivor" Checklist
Category: Investor Publications
Date: Title: A Plain English Handbook: How to Create Clear SEC Disclosure Documents
Category: Investor Publications
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