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.

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Date	Title	Category
Date: Sept. 1, 2020	Title: Questions You Should Ask About Your Investments brochure (PDF) Investor Education and Advocacy	Category: Investor Publications
Date: Feb. 27, 2014	Title: Q&A: Small Business and the SEC	Category: Investor Publications
Date: Feb. 19, 2014	Title: Identity Theft: Learn How To Protect Yourself	Category: Investor Publications
Date: Feb. 19, 2014	Title: Understanding Investment Professional Designations (tips from FINRA)	Category: Investor Publications
Date: Jan. 12, 2014	Title: Beginners' Guide to Financial Statements Investor Education and Advocacy	Category: Investor Publications
Date: Oct. 9, 2013	Title: Affinity Fraud: How to Avoid Investment Scams That Target Group	Category: Investor Publications
Date: Sept. 18, 2013	Title: Microcap Stock: A Guide for Investors	Category: Investor Publications
Date: Sept. 5, 2013	Title: "Phishing" Fraud: How to Avoid Getting Fried by Phony Phishermen	Category: Investor Publications
Date: April 19, 2013	Title: A Guide for Seniors: Protect Yourself Against Investment Fraud (PDF)	Category: Investor Publications
Date: Jan. 16, 2013	Title: Rule 144: Selling Restricted and Control Securities	Category: Investor Publications
Date: Jan. 16, 2013	Title: Trade Execution: What Every Investor Should Know	Category: Investor Publications
Date: Dec. 4, 2012	Title: Researching the Federal Securities Laws Through the SEC Website	Category: Investor Publications
Date: Sept. 24, 2012	Title: Guide to Insider Trading: Online Publications at the SE	Category: Investor Publications
Date: Aug. 7, 2012	Title: Investment Advisers: What You Need to Know Before Choosing One	Category: Investor Publications
Date: Jan. 19, 2012	Title: Researchers and LibrariansEasy Access to Selected Securities and Investor Information at the SEC	Category: Investor Publications
Date: Oct. 6, 2011	Title: Mutual-to-Stock Conversions: Tips for Investor	Category: Investor Publications
Date: Feb. 16, 2011	Title: About the SECs Office of Investor Education and Advocacy	Category: Investor Publications
Date: Feb. 1, 2011	Title: Internet Fraud: How to Avoid Internet Investment Scams	Category: Investor Publications
Date: Aug. 30, 2010	Title: Analyzing Analyst Recommendations Trading and Markets	Category: Investor Publications
Date: Aug. 10, 2010	Title: The SEC Mutual Fund Cost Calculator: A Tool for Comparing Mutual Funds	Category: Investor Publications
Date: Dec. 14, 2009	Title: Five Questions to Ask Before You Invest	Category: Investor Publications
Date: Dec. 2, 2009	Title: Beginners Guide to Investing	Category: Investor Publications
Date: Dec. 2, 2009	Title: Fake Seals and Phony Numbers: How Fraudsters Try to Look Legit	Category: Investor Publications
Date: Dec. 2, 2009	Title: SIPC Exposes Phony "Look-Alike" Web Site Enforcement	Category: Investor Publications
Date: Dec. 2, 2009	Title: Taking Stock: Getting Your Fiscal Act Together	Category: Investor Publications
Date: Nov. 18, 2009	Title: Cold Calling: Unsolicited Calls from Brokers	Category: Investor Publications
Date: Nov. 12, 2009	Title: Guide to Identifying and Avoiding Securities Fraud	Category: Investor Publications
Date: Oct. 6, 2009	Title: Compliance Guide to the Registration and Regulation of Brokers and Dealers	Category: Investor Publications
Date: Aug. 28, 2009	Title: Beginners' Guide to Asset Allocation, Diversification, and Rebalancing	Category: Investor Publications
Date: June 9, 2009	Title: All About Auto-Trading	Category: Investor Publications
Date: June 9, 2009	Title: How To Avoid Fraud	Category: Investor Publications
Date: June 1, 2009	Title: Warning to All Investors About Bogus "Prime Bank" and Other Banking-Related Investment Schemes	Category: Investor Publications
Date: May 6, 2009	Title: Ultra-Short Bond Funds: Know Where You're Parking Your Money	Category: Investor Publications
Date: April 21, 2009	Title: Beginners Guide to Mutual Funds	Category: Investor Publications
Date: April 17, 2009	Title: Margin: Borrowing Money to Pay for Stocks	Category: Investor Publications
Date: April 16, 2009	Title: Transferring your Brokerage Account: Tips on Avoiding Delays	Category: Investor Publications
Date: March 17, 2009	Title: Execution Quality Statistics: How to Find Information on Order Execution and Routing Practices	Category: Investor Publications
Date: Feb. 27, 2009	Title: "Senior" Specialists and Advisors: What You Should Know About Professional Designations	Category: Investor Publications
Date: Feb. 27, 2009	Title: Online Brokerage Accounts: What You Can Do to Safeguard Your Money and Your Personal Information	Category: Investor Publications
Date: Feb. 4, 2009	Title: The Fleecing of Foreign Investors: Avoid Getting Burned by "Hot" U.S. Stocks	Category: Investor Publications
Date: Feb. 3, 2009	Title: Bankruptcy: What Happens When Public Companies Go Bankrupt	Category: Investor Publications
Date: Dec. 3, 2008	Title: High-Yield CDs: Protect Your Money by Checking the Fine Print	Category: Investor Publications
Date: Nov. 4, 2008	Title: After-Hours Trading: Understanding the Risks	Category: Investor Publications
Date: July 14, 2008	Title: Promissory Notes: Promises, Problems (PDF)	Category: Investor Publications
Date: July 1, 2008	Title: Getting Info About Companies	Category: Investor Publications
Date: June 9, 2008	Title: Evaluating Your Retirement Options: The 403(b) Plan	Category: Investor Publications
Date: March 24, 2008	Title: Investment Choices and Methods	Category: Investor Publications
Date: Jan. 31, 2008	Title: Mini-Tender Offers: Tips for Investors	Category: Investor Publications
Date: Aug. 15, 2007	Title: Avoiding Internet Investment Scams: Tips for Investors	Category: Investor Publications
Date: Aug. 1, 2007	Title: "Pro Forma" Financial Information: Tips for Investors	Category: Investor Publications
Date: Aug. 1, 2007	Title: Oil and Gas Scams: Common Red Flags and Steps You Can Take to Protect Yoursel	Category: Investor Publications
Date: Aug. 1, 2007	Title: Periodic Payment Plans	Category: Investor Publications
Date: Aug. 1, 2007	Title: Privacy Choices for Your Personal Financial Information	Category: Investor Publications
Date: Aug. 1, 2007	Title: Ask Questions: Questions You Should Ask About Your Investments and What To Do If You Run Into Problems	Category: Investor Publications
Date: Aug. 1, 2007	Title: Get the Facts on Saving and Investing	Category: Investor Publications
Date: Aug. 1, 2007	Title: Invest Wisely: Advice From Your Securities Industry Regulators	Category: Investor Publications
Date: Aug. 1, 2007	Title: Pregunte (folleto en Espanol) ("Ask Questions" brochure in Spanish)	Category: Investor Publications
Date: Aug. 1, 2007	Title: Tips for Online Investing: What You Need to Know About Trading In Fast-Moving Markets	Category: Investor Publications
Date: July 31, 2007	Title: Form for Taking Notes	Category: Investor Publications
Date: May 8, 2007	Title: Mutual Fund Investing: Look at More Than a Funds Past Performance	Category: Investor Publications
Date: Feb. 5, 2007	Title: Beginners' Guide to Financial Statement	Category: Investor Publications
Date: April 3, 2006	Title: Lump Sum Payouts: Questions You Should Ask Yourself Before You Invest a Dime	Category: Investor Publications
Date: Feb. 27, 2006	Title: Auto-Surfing: What You Need to Kno	Category: Investor Publications
Date: Jan. 27, 2006	Title: "Wrong Numbers" and Stock Tips on Your Answering Machine	Category: Investor Publications
Date: Oct. 17, 2005	Title: Worthless Stock: How to Avoid Doubling Your Losses	Category: Investor Publications
Date: June 1, 2005	Title: Selecting and Monitoring Pension Consultants: Tips for Plan Fiduciaries	Category: Investor Publications
Date: April 20, 2005	Title: Day Trading: Your Dollars at Risk	Category: Investor Publications
Date: April 11, 2005	Title: "High Yields" and Hot Air	Category: Investor Publications
Date: Jan. 18, 2005	Title: Mutual Fund Proxy Voting Records and Policies	Category: Investor Publications
Date: Jan. 11, 2005	Title: Pump&Dump.con: Tips for Avoiding Stock Scams on the Internet	Category: Investor Publications
Date: Jan. 11, 2005	Title: Risky Business: "Pre-IPO [Initial Public Offering]" Investing	Category: Investor Publications
Date: June 9, 2004	Title: Variable Annuities and Variable Life Products: Questions to Ask	Category: Investor Publications
Date: May 21, 2004	Title: About Settling Trades In Three Days: Introducing T+3	Category: Investor Publications
Date: June 24, 2002	Title: All About Auditors	Category: Investor Publications
Date: March 1, 2001	Title: Stock Market Fraud "Survivor" Checklist	Category: Investor Publications
Date: March 30, 1999	Title: A Plain English Handbook: How to Create Clear SEC Disclosure Documents	Category: Investor Publications