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
FY21 Enforcement Results (PDF) Annual Reports
2021 Annual Report to Congress on the Dodd-Frank Whistleblower Program (PDF) Annual Reports
2021 Agency Financial Report Annual Reports
Rural Entrepreneurship and the Challenges Accessing Financial Capital: An Overview of Funding in Rural America (PDF)
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
FY 2019 Service Contract Inventory with Planned Analysis of FY 2020 Inventory (PDF) Service Contract Inventory
FY 2019 Service Contract Inventory Analysis (PDF) Service Contract Inventory
Staff Report on Equity and Options Market Structure Conditions in Early 2021 (PDF)
2021 Small Business Forum Report (PDF) Annual Reports
FY 2018 Service Contract Inventory with Planned Analysis of FY 2019 Inventory (PDF) Service Contract Inventory
FY 2018 Service Contract Inventory Analysis (PDF) Service Contract Inventory
Office of the Investor Advocate Report on Objectives for Fiscal Year 2022 (PDF) Annual Reports
FAIR Inventory 2021 (PDF) FAIR Act
Semiannual Management Report (May 2021) (PDF)
Fiscal Year 2022 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2020 Annual Performance Report Budget Reports
Report on Administrative Proceedings for the Period October 1, 2020 through March 31, 2021 (PDF) Special Studies
2021 examination priorities (PDF)
2020 Report and Certification of Internal Supervisory Controls (PDF) Internal Supervisory Controls
Office of the Investor Advocate Report on Activities for FY 2020 (PDF) Annual Reports
Annual Report on SEC Website Modernization Pursuant to Section 3(d) of the 21st Century Integrated Digital Experience Act. (PDF)
2020 OASB Annual Report (PDF) Annual Reports
Annual Report to Congress on Nationally Recognized Statistical Rating Organizations - June 26, 2019 - June 25, 2020 (PDF) Annual Reports
2020 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (PDF) Annual Reports
2020 Small Business Forum Report (PDF) Annual Reports
Semiannual Management Report (November 2020) (PDF)
2020 Annual Report to Congress on the Dodd-Frank Whistleblower Program (PDF) Annual Reports
2020 Agency Financial Report Annual Reports
SEC FY 2020 Conference Spending (PDF) Conference Spending
Annual Staff Report Relating to the Use of Form PF Data (PDF) Special Studies
Division of Enforcement 2020 Annual Report (PDF) Annual Reports
Report on Administrative Proceedings for the Period April 1, 2020 through September 30, 2020 (PDF) Special Studies
FY 2016 Service Contract Inventory Analysis (PDF) Service Contract Inventory
FY 2016 Service Contract Inventory with Planned Analysis of FY 2017 Inventory (PDF) Service Contract Inventory
FY 2017 Service Contract Inventory Analysis (PDF) Service Contract Inventory
Planned Analysis of FY 2018 Inventory (PDF) Service Contract Inventory
U.S. Credit Markets Interconnectedness and the Effects of the COVID-19 Economic Shock
Staff Report on the Regulation of Clearing Agencies (PDF)
Questions You Should Ask About Your Investments brochure (PDF) Investor Publications
Report to Congress on Regulation A / Regulation D Performance (PDF)
Staff Report on Algorithmic Trading in U.S. Capital Markets (PDF) Special Studies
FAIR Inventory 2020 (PDF) FAIR Act
Office of the Investor Advocate Report on Objectives for Fiscal Year 2021 (PDF) Annual Reports
Semiannual Management Report (May 2020) (PDF)
Report on Administrative Proceedings For the Period October 1, 2019 through March 31, 2020 (PDF) Special Studies
Regulation A Lookback Study and Offering Limit Review Analysis, 2020 (PDF)
Fiscal Year 2021 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2019 Annual Performance Report Budget Reports
SEC FY 2019 Conference Spending (PDF) Conference Spending
2019 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (PDF) Annual Reports
Annual Report to Congress on Nationally Recognized Statistical Rating Organizations - June 26, 2018 - June 25, 2019 (PDF) Annual Reports
Annual Report on Existing SEC Websites and Digital Services Pursuant to Section 3 of the 21st Century Integrated Digital Experience Act (PDF)
2020 Examination Priorities (PDF)
Semiannual Management Report (November 2019) (PDF)
Annual Staff Report Relating to the Use of Form PF Data (PDF) Special Studies
2019 Report and Certification of Internal Supervisory Controls (PDF) Internal Supervisory Controls
2019 Examination Priorities (PDF)
Office of the Investor Advocate Report on Activities for FY 2019 (PDF) Annual Reports
2019 Small Business Forum Report (PDF) Annual Reports
2019 Annual Report to Congress on the Dodd-Frank Whistleblower Program (PDF) Annual Reports
Fiscal Year 2019 Agency Financial Report Annual Reports
Division of Enforcement 2019 Annual Report (PDF) Annual Reports
Report on Administrative Proceedings For the Period April 1, 2019 through September 30, 2019 (PDF) Special Studies
Office of the Investor Advocate Report on Objectives for Fiscal Year 2020 (PDF) Annual Reports
FAIR Inventory 2019 (PDF) FAIR Act
FAIR Inventory 2018 (PDF) FAIR Act
Regulation Crowdfunding Report 2019 (PDF)
Report on Administrative Proceedings For the Period October 1, 2018 through March 31, 2019 (PDF) Special Studies
Fiscal Year 2020 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2018 Annual Performance Report Budget Reports
SEC FY 2018 Conference Spending (PDF) Conference Spending
2018 Report and Certification of Internal Supervisory Controls (PDF) Internal Supervisory Controls
2018 Examination Priorities (PDF)
Office of the Investor Advocate FY 2018 Report on Activities (PDF) Annual Reports
Annual Report to Congress on Nationally Recognized Statistical Rating Organization - June 26, 2017 - June 25, 2018 (PDF) Annual Reports
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
Fiscal Year 2018 Agency Financial Report Annual Reports
2018 Annual Report to Congress on the Dodd-Frank Whistleblower Program (PDF) Annual Reports
Division of Enforcement 2018 Annual Report (PDF) Annual Reports
Report on Administrative Proceedings For the Period April 1, 2018 through September 30, 2018 (PDF) Special Studies
2018-2022 Strategic Plan (PDF) Strategic Plan
Select SEC and Market Data 2017 (PDF) Select SEC and Market Data
Office of the Investor Advocate Report on Objectives for Fiscal Year 2019 (PDF) Annual Reports
Addendum to Division of Enforcement 2017 Annual Report (Select SEC and Market Data Fiscal 2017 – Enforcement Information Only) (PDF) Select SEC and Market Data
2017 Report and Certification of Internal Supervisory Controls (PDF) Internal Supervisory Controls
Semiannual Management Report (May 2018) (PDF)
Report on Administrative Proceedings for the Period October 1, 2017, through March 31, 2018 (PDF) Special Studies
Fiscal Year 2019 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2017 Annual Performance Report Budget Reports
SEC FY 2017 Conference Spending (PDF) Conference Spending
Office of the Investor Advocate FY 2017 Report on Activities (PDF) Annual Reports
Semiannual Management Report (November 2017) (PDF)
2017 Annual Report to Congress on the Dodd-Frank Whistleblower Program (PDF) Annual Reports
Division of Enforcement 2017 Annual Report (PDF)
Addendum to Division of Enforcement 2017 Annual Report (Select SEC and Market Data Fiscal 2017 – Enforcement Information Only) (addendum posted June 19, 2018) (PDF)
Fiscal Year 2017 Agency Financial Report Annual Reports
Report on Administrative Proceedings for the Period April 1, 2017 through September 30, 2017 (PDF) Special Studies
FY 2015 Service Contract Inventory Analysis (PDF) Service Contract Inventory
Planned Analysis of FY 2016 Inventory (PDF) Service Contract Inventory
FAIR Inventory 2017 (PDF) FAIR Act
Access to Capital and Market Liquidity (PDF) Special Studies
Office of the Investor Advocate Report on Objectives for Fiscal Year 2018 (PDF) Annual Reports
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