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
Report on Administrative Proceedings For the Period October 1, 2023, through March 31, 2024 (PDF) Special Studies
2023 Annual Staff Report Relating to the Use of Form PF Data (PDF) Special Studies
2023 Report on the Review of the Definition of “Accredited Investor” (PDF) Special Studies
Report on Administrative Proceedings for the Period April 1, 2023 through September 30, 2023 (PDF) Special Studies
Report on Administrative Proceedings For the Period October 1, 2022 through March 31, 2023 (PDF) Special Studies
2022 Annual Staff Report Relating to the Use of Form PF Data (PDF) Special Studies
Report on Administrative Proceedings for the Period April 1, 2022 through September 30, 2022 (PDF) Special Studies
Report on Administrative Proceedings for the Period October 1, 2021 through March 31, 2022 (PDF) Special Studies
Study on Threshold Limits Applicable to Diversified Companies (PDF) Special Studies
Annual Staff Report Relating to the Use of Form PF Data (PDF) Special Studies
Recent Disruptions and Potential Reforms in the U.S. Treasury Market: A Staff Progress Report (PDF) Special Studies
Report on Administrative Proceedings for the Period April 1, 2021 through September 30, 2021 (PDF) Special Studies
Report on Administrative Proceedings for the Period October 1, 2020 through March 31, 2021 (PDF) Special Studies
Annual Staff Report Relating to the Use of Form PF Data (PDF) Special Studies
Report on Administrative Proceedings for the Period April 1, 2020 through September 30, 2020 (PDF) Special Studies
Staff Report on Algorithmic Trading in U.S. Capital Markets (PDF) Special Studies
Report on Administrative Proceedings For the Period October 1, 2019 through March 31, 2020 (PDF) Special Studies
Annual Staff Report Relating to the Use of Form PF Data (PDF) Special Studies
Report on Administrative Proceedings For the Period April 1, 2019 through September 30, 2019 (PDF) Special Studies
Report on Administrative Proceedings For the Period October 1, 2018 through March 31, 2019 (PDF) Special Studies
2018 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (PDF) Special Studies
Annual Staff Report Relating to the Use of Form PF Data (PDF) Special Studies
Report on Administrative Proceedings For the Period April 1, 2018 through September 30, 2018 (PDF) Special Studies
Report on Administrative Proceedings for the Period October 1, 2017, through March 31, 2018 (PDF) Special Studies
Report on Administrative Proceedings for the Period April 1, 2017 through September 30, 2017 (PDF) Special Studies
Access to Capital and Market Liquidity (PDF) Special Studies
Report on Administrative Proceedings for the Period October 1, 2016 through March 31, 2017 (PDF) Special Studies
2016 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (PDF) Special Studies
Report on Administrative Proceedings for the Period April 1, 2016 through September 30, 2016 (PDF) Special Studies
Report on Administrative Proceedings For the Period October 1, 2015 through March 31, 2016 (PDF) Special Studies
2015 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (PDF) Special Studies
Report on the Review of the Definition of “Accredited Investor” (PDF) Special Studies
Report on Administrative Proceedings for the Period April 1, 2015 through September 30, 2015 (PDF) Special Studies
Joint Staff Report: The U.S. Treasury Market on October 15, 2014 (PDF) Special Studies
Report on Administrative Proceedings For the Period October 1, 2014 through March 31, 2015 (PDF) Special Studies
2014 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (PDF) Special Studies
Report on Administrative Proceedings for the Period April 1, 2014 through September 30, 2014 (PDF) Special Studies
Annual Staff Report Relating to the Use of Data Collected from Private Fund Systemic Risk Reports (PDF) Special Studies
Short Sale Position and Transaction Reporting (PDF) Special Studies
Report on Administrative Proceedings For the Period October 1, 2013 through March 31, 2014 (PDF) Special Studies
2013 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (PDF) Special Studies
JOBS Act Section 108 Report to Congress on Review of Disclosure Requirements in Regulation S-K (PDF) Special Studies
Report to Congress on Credit Rating Agency Independence Study (PDF) Special Studies
Report on Administrative Proceedings for the Period April 1, 2013 through September 30, 2013 (PDF) Special Studies
Annual Staff Report Relating to the Use of Data Collected from Private Fund Systemic Risk Reports (PDF) Special Studies
Fourth Report on the Implementation of SEC Organizational Reform Recommendations (PDF) Special Studies
Report on Administrative Proceedings for the Period October 1, 2012 through March 31, 2013 (PDF) Special Studies
Assigned Credit Ratings (PDF) Special Studies
2012 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (PDF) Special Studies
Report on Administrative Proceedings for the Period April 1, 2012 through September 30, 2012 (PDF) Special Studies
Third Report on the Implementation of SEC Organizational Reform Recommendations (PDF) Special Studies
JOBS Act Section 504 Report on Authority to Enforce Exchange Act Rule 12g5-1 and Subsection (b)(3) (PDF) Special Studies
Report on Credit Rating Standardization (PDF) Special Studies
SEC Staff Study Regarding Financial Literacy Among Investors Special Studies
Report on the Municipal Securities Market (PDF) Special Studies
JOBS Act Section 106 Report to Congress on Decimalization (PDF) Special Studies
Report on Administrative Proceedings for the Period October 1, 2011 through March 31, 2012 (PDF) Special Studies
Study on the Cross-Border Scope of the Private Right of Action Under Section 10(b) of the Securities Exchange Act of 1934 Special Studies
Report on the Implementation of SEC Organizational Reform Recommendations (PDF) Special Studies
Joint Report on International Swap Regulation (PDF) Special Studies
Report on Administrative Proceedings for the Period April 1, 2011 through September 30, 2011 (PDF) Special Studies
2011 Summary Report of Commission Staff's Examinations of Each Nationally Recognized Statistical Rating Organization (PDF) Special Studies
Report on the Implementation of SEC Organizational Reform Recommendations (PDF) Special Studies
Staff Summary Report on Issues Identified in Examinations of Certain Structured Securities Products Sold to Retail Investors (PDF) Special Studies
Report on Review of Reliance on Credit Ratings (PDF) Special Studies
Study and Recommendations on Section 404(b) of the Sarbanes-Oxley Act of 2002 For Issuers with Public Float Between $75 and $250 Million (PDF) Special Studies
Report on Administrative Proceedings for the Period October 1, 2010 through March 31, 2011 (PDF) Special Studies
Joint Study on the Feasibility of Mandating Algorithmic Descriptions for Derivatives (PDF) Special Studies
U.S. Securities and Exchange Commission Organizational Study and Reform (PDF) Special Studies
Study and Recommendations on Improved Investor Access to Registration Information About Investment Advisers and Broker-Dealers (PDF) Special Studies
Study on Investment Advisers and Broker-Dealers Special Studies
Staff Study on Enhancing Investment Adviser Examinations Special Studies
Annual Report on Whistleblower Program (PDF) Special Studies
Report on Administrative Proceedings for Period April 1, 2010 through September 30, 2010 (PDF) Special Studies
Findings Regarding the Market Events of May 6, 2010 (PDF) Special Studies
Life Settlements Task Force: Staff Report to the United States Securities and Exchange Commission (PDF) Special Studies
Report on Administrative Proceedings for Period October 1, 2009 through March 31, 2010 (PDF) Special Studies
Report on Administrative Proceedings for Period April 1, 2009 through September 30, 2009 (PDF) Special Studies
Executive Summary: Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme (PDF) Special Studies
Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme Special Studies
Report on Administrative Proceedings for Period October 1, 2008 through March 31, 2009 (PDF) Special Studies
SEC's Congressionally Mandated Study on Mark-to-Market Accounting (PDF) Special Studies
Report on Administrative Proceedings for Period April 1, 2008 through September 30, 2008 (PDF) Special Studies
Summary Report of Issues Identified in the Commission Staff's Examinations of Select Credit Rating Agencies (PDF) Special Studies
Report on Administrative Proceedings For Period October 1, 2007 through March 31, 2008 (PDF) Special Studies
Report on Administrative Proceedings for Period April 1, 2007 through September 30, 2007 (PDF) Special Studies
Report on Administrative Proceedings for Period October 1, 2006 through March 31, 2007 (PDF) Special Studies
Report on Refunds, Sales Practices, and Revenues from Periodic Payment Plans (PDF) Special Studies
Report Concerning Examinations of Options Order Routing and Execution (PDF) Special Studies
Report on Administrative Proceedings for Period April 1, 2005 through September 30, 2005 (PDF) Special Studies
Report on Administrative Proceedings for Period April 1, 2006 through September 30, 2006 (PDF) Special Studies
Report on Administrative Proceedings for Period October 1, 2005 through March 31, 2006 (PDF) Special Studies
Implications of the Growth of Hedge Funds (PDF) Special Studies
Report on Mutual Fund Fees and Expenses Special Studies
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