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
Summary of Performance and Financial Information, Fiscal Year 2015 (PDF) Annual Reports
FY 2017 Congressional Justification & FY 2015 Annual Performance Report and FY 2017 Annual Performance Plan Budget Reports
Select SEC and Market Data 2015 (PDF) Select SEC and Market Data
SEC FY2015 Supplement SCI (XLSX) Service Contract Inventory
Planned Analysis of FY 2015 Inventory (PDF) Service Contract Inventory
2016 Examination Priorities (PDF)
SEC FY 2015 Conference Spending (PDF) Conference Spending
2015 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (PDF) Special Studies
Annual Report to Congress on Nationally Recognized Statistical Rating Organizations - June 26, 2014 – June 25, 2015 (PDF) Annual Reports
2015 Report and Certification (PDF) Internal Supervisory Controls
Office of the Investor Advocate FY 2015 Report on Activities (PDF) Annual Reports
Report on the Review of the Definition of “Accredited Investor” (PDF) Special Studies
Fiscal Year 2015 Agency Financial Report Annual Reports
2015 Annual Report on the Dodd-Frank Whistleblower Program (PDF) Annual Reports
SEC FY 2014 Conference Spending (PDF) Conference Spending
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
Office of the Investor Advocate Report on Objectives for FY 2016 (PDF) Annual Reports
Report on Administrative Proceedings For the Period October 1, 2014 through March 31, 2015 (PDF) Special Studies
OCIE-FINRA Report on National Senior Investor Initiative (PDF)
Summary of Performance and Financial Information, Fiscal Year 2014 (PDF) Annual Reports
Select SEC and Market Data 2014 (PDF) Select SEC and Market Data
FY 2016 Congressional Justification & FY 2014 Annual Performance Report and FY 2016 Annual Performance Plan Budget Reports
SEC FY2013 Appendix C SCI Summary (PDF) Service Contract Inventory
SEC FY2013 Appendix B SCI Detail (PDF) Service Contract Inventory
FY 2013 Service Contract Inventory Analysis (PDF) Service Contract Inventory
Planned Analysis of FY 2013 Inventory (PDF) Service Contract Inventory
2015 Examination Priorities (PDF)
2014 FEVS Results for Regions (PDF) Federal Employee Viewpoint Survey
2014 FEVS Results for Headquarters (PDF) Federal Employee Viewpoint Survey
2014 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (PDF) Special Studies
Annual Report to Congress - June 26, 2013 – June 25, 2014 (PDF) Annual Reports
Office of the Investor Advocate FY 2014 Report on Activities (PDF)
2014 Report and Certification (PDF) Internal Supervisory Controls
Semiannual Management Report (November 2014) (PDF)
2014 Annual Report on the Dodd-Frank Whistleblower Program (PDF) Annual Reports
Fiscal Year 2014 Agency Financial Report Annual Reports
SEC FY2014 Appendix B and C SCI Details (XLSX) Service Contract Inventory
FY 2014 Service Contract Inventory Analysis (PDF) Service Contract Inventory
SEC FY2014 Supplement SCI (XLSX) Service Contract Inventory
Planned Analysis of FY 2014 Inventory (PDF) Service Contract Inventory
SEC FY 2013 Conference Spending (PDF) Conference Spending
Report on Administrative Proceedings for the Period April 1, 2014 through September 30, 2014 (PDF) Special Studies
2014 Inventory (PDF) FAIR Act
Annual Staff Report Relating to the Use of Data Collected from Private Fund Systemic Risk Reports (PDF) Special Studies
Report on Objectives - Office of the Investor Advocate (PDF) Annual Reports
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
FY 2015 Congressional Justification and Performance Plan & FY 2013 Annual Performance Report Budget Reports
Identity Theft: Learn How To Protect Yourself Investor Publications
Understanding Investment Professional Designations (tips from FINRA) Investor Publications
Select SEC and Market Data 2013 (PDF) Select SEC and Market Data
Beginners' Guide to Financial Statements Investor Publications
2014 Examination Priorities (PDF)
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
2013 Report and Certification (PDF) Internal Supervisory Controls
2013 Agency Financial Report Annual Reports
Annual Report to Congress - June 26, 2012 to June 25, 2013 (PDF) Annual Reports
Semiannual Management Report (November 2013) (PDF)
Report to Congress on Credit Rating Agency Independence Study (PDF) Special Studies
2013 Annual Report on the Dodd-Frank Whistleblower Program (PDF) Annual Reports
Report on Administrative Proceedings for the Period April 1, 2013 through September 30, 2013 (PDF) Special Studies
Affinity Fraud: How to Avoid Investment Scams That Target Group Investor Publications
HSPD-12 Implementation Status Report (Personal Identification Verification (PIV) Credentials) (PDF)
Microcap Stock: A Guide for Investors Investor Publications
"Phishing" Fraud: How to Avoid Getting Fried by Phony Phishermen Investor Publications
2013 Inventory (PDF) FAIR Act
Annual Staff Report Relating to the Use of Data Collected from Private Fund Systemic Risk Reports (PDF) Special Studies
Report on Administrative Proceedings for the Period October 1, 2012 through March 31, 2013 (PDF) Special Studies
Fourth Report on the Implementation of SEC Organizational Reform Recommendations (PDF) Special Studies
Office of Minority and Women Inclusion Annual Report Annual Reports
A Guide for Seniors: Protect Yourself Against Investment Fraud (PDF) Investor Publications
FY 2014 Congressional Justification and Performance Plan & FY 2012 Annual Performance Report Budget Reports
2013 Examination Priorities (PDF)
Summary of Performance and Financial Information, Fiscal Year 2012 (PDF) (PDF) Annual Reports
Select SEC and Market Data 2012 (PDF) Select SEC and Market Data
SEC FY 2012 Conference Spending (PDF) Conference Spending
Rule 144: Selling Restricted and Control Securities Investor Publications
Trade Execution: What Every Investor Should Know Investor Publications
SEC FY2012 Appendix C SCI Summary (PDF) Service Contract Inventory
2012 Report and Certification (PDF) Internal Supervisory Controls
SEC FY2012 Appendix B SCI Detail (PDF) Service Contract Inventory
Assigned Credit Ratings (PDF) Special Studies
FY 2012 Service Contract Inventory Analysis (PDF) Service Contract Inventory
SEC FY2011 Appendix C SCI Summary (PDF) Service Contract Inventory
SEC FY2011 Appendix B SCI Detail (PDF) Service Contract Inventory
FY 2011 Service Contract Inventory Analysis (PDF) Service Contract Inventory
Planned Analysis of FY 2011 Inventory (PDF) Service Contract Inventory
Planned Analysis of FY 2012 Inventory (PDF) Service Contract Inventory
Researching the Federal Securities Laws Through the SEC Website Investor Publications
Annual Report to Congress - June 26, 2011 to June 25, 2012 (PDF) Annual Reports
2012 Annual Report on the Dodd-Frank Whistleblower Program (PDF) Annual Reports
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
Guide to Insider Trading: Online Publications at the SE Investor Publications
Report on Credit Rating Standardization (PDF) Special Studies
SEC Staff Study Regarding Financial Literacy Among Investors Special Studies
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