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
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
Investment Advisers: What You Need to Know Before Choosing One Investor Publications
Report on the Municipal Securities Market (PDF) Special Studies
JOBS Act Section 106 Report to Congress on Decimalization (PDF) Special Studies
2012 Inventory (PDF) FAIR Act
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
Office of Minority and Women Inclusion Annual Report Annual Reports
Report on the Implementation of SEC Organizational Reform Recommendations (PDF) Special Studies
Annual Report to Congress - June 26, 2010 to June 25, 2011 (PDF) Annual Reports
Congressional Justification FY 2013 in Brief (PDF) Budget Reports
Joint Report on International Swap Regulation (PDF) Special Studies
Researchers and Librarians—Easy Access to Selected Securities and Investor Information at the SEC Investor Publications
Select SEC and Market Data 2011 (PDF) Select SEC and Market Data
2012 Agency Financial Report Annual Reports
2011 Report and Certification (PDF) Internal Supervisory Controls
2011 Annual Report on the Dodd-Frank Whistleblower Program (PDF) Annual Reports
Report on Administrative Proceedings for the Period April 1, 2011 through September 30, 2011 (PDF) Special Studies
Mutual-to-Stock” Conversions: Tips for Investor Investor Publications
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
2011 Inventory (PDF) FAIR Act
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
2010 Report (PDF) Buy American Act
U.S. Securities and Exchange Commission Organizational Study and Reform (PDF) Special Studies
Congressional Justification FY 2012 in Brief (PDF) Budget Reports
Internet Fraud: How to Avoid Internet Investment Scams Investor Publications
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
Select SEC and Market Data 2010 (PDF) Select SEC and Market Data
2011 Annual Report Annual Reports
Annual Report to Congress - June 26, 2009 to June 25, 2010 (PDF) Annual Reports
E-Government Act Implementation Updates: FY 2010 Update (PDF)
Annual Report on Whistleblower Program (PDF) Special Studies
Report on Administrative Proceedings for Period April 1, 2010 through September 30, 2010 (PDF) Special Studies
2010-2015 Strategic Plan (PDF) Strategic Plan
Findings Regarding the Market Events of May 6, 2010 (PDF) Special Studies
Analyzing Analyst Recommendations Investor Publications
The SEC Mutual Fund Cost Calculator: A Tool for Comparing Mutual Funds Investor Publications
Life Settlements Task Force: Staff Report to the United States Securities and Exchange Commission (PDF) Special Studies
2010 Inventory (PDF) FAIR Act
Report on Administrative Proceedings for Period October 1, 2009 through March 31, 2010 (PDF) Special Studies
2009 Report (PDF) Buy American Act
Congressional Justification FY 2011 in Brief (PDF) Budget Reports
2010 Annual Report Annual Reports
Five Questions to Ask Before You Invest Investor Publications
Beginners Guide to Investing Investor Publications
Fake Seals and Phony Numbers: How Fraudsters Try to Look Legit Investor Publications
SIPC Exposes Phony "Look-Alike" Web Site Investor Publications
Taking Stock: Getting Your Fiscal Act Together Investor Publications
Cold Calling: Unsolicited Calls from Brokers Investor Publications
Select SEC and Market Data 2009 (PDF) Select SEC and Market Data
E-Government Act Implementation Updates: FY 2009 Update (PDF)
Guide to Identifying and Avoiding Securities Fraud Investor Publications
Report on Administrative Proceedings for Period April 1, 2009 through September 30, 2009 (PDF) Special Studies
Compliance Guide to the Registration and Regulation of Brokers and Dealers Investor Publications
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
Annual Report to Congress - June 26, 2008 to June 25, 2009 (PDF) Annual Reports
Beginners' Guide to Asset Allocation, Diversification, and Rebalancing Investor Publications
2009 Inventory (PDF) FAIR Act
All About Auto-Trading Investor Publications
How To Avoid Fraud Investor Publications
Warning to All Investors About Bogus "Prime Bank" and Other Banking-Related Investment Schemes Investor Publications
Ultra-Short Bond Funds: Know Where You're Parking Your Money Investor Publications
Congressional Justification FY 2010 in Brief (PDF) Budget Reports
Report on Administrative Proceedings for Period October 1, 2008 through March 31, 2009 (PDF) Special Studies
Beginners’ Guide to Mutual Funds Investor Publications
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