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 Period April 1, 2007 through September 30, 2007 (PDF) Special Studies
E-Government Act Implementation Updates: FY 2007 Update (PDF)
2007 Inventory (PDF) FAIR Act
Avoiding Internet Investment Scams: Tips for Investors Investor Publications
"Pro Forma" Financial Information: Tips for Investors Investor Publications
Periodic Payment Plans Investor Publications
Privacy Choices for Your Personal Financial Information Investor Publications
Oil and Gas Scams: Common Red Flags and Steps You Can Take to Protect Yoursel Investor Publications
Ask Questions: Questions You Should Ask About Your Investments and What To Do If You Run Into Problems Investor Publications
Pregunte (folleto en Espanol) ("Ask Questions" brochure in Spanish) (PDF) Investor Publications
Tips for Online Investing: What You Need to Know About Trading In Fast-Moving Markets Investor Publications
Get the Facts on Saving and Investing Investor Publications
Invest Wisely: Advice From Your Securities Industry Regulators Investor Publications
Form for Taking Notes Investor Publications
Mutual Fund Investing: Look at More Than a Fund's Past Performance Investor Publications
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
2006 Report (PDF) Buy American Act
Report Concerning Examinations of Options Order Routing and Execution (PDF) Special Studies
Select SEC and Market Data 2006 (PDF) Select SEC and Market Data
2008 Performance Budget (PDF) Budget Reports
Beginners' Guide to Financial Statement Investor Publications
Congressional Justification FY 2008 (PDF) Budget Reports
Report on Administrative Proceedings for Period April 1, 2006 through September 30, 2006 (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 October 1, 2005 through March 31, 2006 (PDF) Special Studies
2007 Performance and Accountability Report Annual Reports
E-Government Act Implementation Updates: FY 2006 Update (PDF)
OMB Exhibit 300 Reports FY 2008 Budget Reports
2006 Inventory (PDF) FAIR Act
2007 Performance Budget (PDF) Budget Reports
2005 Report (PDF) Buy American Act
Select SEC and Market Data 2005 (PDF) Select SEC and Market Data
Auto-Surfing: What You Need to Kno Investor Publications
Congressional Request FY 2007 (PDF) Budget Reports
"Wrong Numbers" and Stock Tips on Your Answering Machine Investor Publications
2006 Performance and Accountability Report Annual Reports
Worthless Stock: How to Avoid Doubling Your Losses Investor Publications
2005 Inventory (PDF) FAIR Act
Selecting and Monitoring Pension Consultants: Tips for Plan Fiduciaries Investor Publications
Select SEC and Market Data 2004 (PDF) Select SEC and Market Data
Day Trading: Your Dollars at Risk Investor Publications
"High Yields" and Hot Air Investor Publications
2006 Performance Budget (PDF) Budget Reports
Congressional Request FY 2006 (PDF) Budget Reports
Mutual Fund Proxy Voting Records and Policies Investor Publications
Risky Business: "Pre-IPO [Initial Public Offering]" Investing Investor Publications
2005 Performance and Accountability Report Annual Reports
2004 Inventory (PDF) FAIR Act
Variable Annuities and Variable Life Products: Questions to Ask Investor Publications
About Settling Trades In Three Days: Introducing T+3 Investor Publications
2004 Performance and Accountability Report Annual Reports
Report on Administrative Proceedings for the Period April 1, 2003 through September 30, 2003 Special Studies
Implications of the Growth of Hedge Funds (PDF) Special Studies
Study Pursuant to Section 108(d) of the Sarbanes-Oxley Act of 2002 on the Adoption by the United States Financial Reporting System of a Principles-Based Accounting System Special Studies
Staff Report: Review of the Proxy Process Regarding the Nomination and Election of Directors Special Studies
2003 Inventory (PDF) FAIR Act
Report on Administrative Proceedings for Period October 1, 2002 through March 31, 2003 Special Studies
Interagency Paper on Sound Practices to Strengthen the Resilience of the U.S. Financial System Special Studies
Staff Report: Enhancing Disclosure in the Mortgage-Backed Securities Markets Special Studies
Report on the Role and Function of Credit Rating Agencies in the Operation of the Securities Markets Special Studies
Study and Report on Violations by Securities Professionals Special Studies
Report Pursuant to Section 308(c) of the Sarbanes Oxley Act of 2002 Special Studies
2003 Annual Report Annual Reports
2002 Inventory (PDF) FAIR Act
All About Auditors Investor Publications
2002 Annual Report Annual Reports
2001 Inventory FAIR Act
Stock Market Fraud "Survivor" Checklist Investor Publications
2001 Annual Report Annual Reports
Report on Mutual Fund Fees and Expenses Special Studies
2000 Annual Report Annual Reports
A Plain English Handbook: How to Create Clear SEC Disclosure Documents Investor Publications
1999 Annual Report Annual Reports
1998 Annual Report (PDF) Annual Reports
Report on the Practice of Preferencing Special Studies
1997 Annual Report (PDF) Annual Reports
Report of the Advisory Committee on the Capital Formation and Regulatory Processes Special Studies
Summary of Comments and Discussion Regarding Protections for Senior Citizens and Qualified Retirement Plans Special Studies
The Joint Regulatory Sales Practice Sweep Report Special Studies
Report of the Task Force on Disclosure Simplification Special Studies
1996 Annual Report (PDF) Annual Reports
Report On Broker-Dealer Compensation Special Studies
Report On Broker-Dealer Compensation Special Studies
1995 Annual Report (PDF) Annual Reports
Personal Investment Activities of Investment Company Personnel Special Studies
Report on the Status of the Recommendations From the Large Firm Project Report Special Studies
The Large Firm Project Special Studies
1994 Annual Report (PDF) Annual Reports
1993 Annual Report (PDF) Annual Reports
1992 Annual Report (PDF) Annual Reports
1991 Annual Report (PDF) Annual Reports
1990 Annual Report (PDF) Annual Reports
1989 Annual Report (PDF) Annual Reports
1988 Annual Report (PDF) Annual Reports
1987 Annual Report (PDF) Annual Reports
1986 Annual Report (PDF) Annual Reports
1985 Annual Report (PDF) Annual Reports
1984 Annual Report (PDF) Annual Reports
1983 Annual Report (PDF) Annual Reports
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