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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.

Year:

Category:

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Date	Title	Category
April 17, 2009	Margin: Borrowing Money to Pay for Stocks	Investor Publications
April 16, 2009	Transferring your Brokerage Account: Tips on Avoiding Delays	Investor Publications
April 3, 2009	2008 Report (PDF)	Buy American Act
March 17, 2009	Execution Quality Statistics: How to Find Information on Order Execution and Routing Practices	Investor Publications
Feb. 27, 2009	"Senior" Specialists and Advisors: What You Should Know About Professional Designations	Investor Publications
Feb. 27, 2009	Online Brokerage Accounts: What You Can Do to Safeguard Your Money and Your Personal Information	Investor Publications
Feb. 4, 2009	The Fleecing of Foreign Investors: Avoid Getting Burned by "Hot" U.S. Stocks	Investor Publications
Jan. 1, 2009	2009 Annual Report	Annual Reports
Dec. 30, 2008	SEC's Congressionally Mandated Study on Mark-to-Market Accounting (PDF)	Special Studies
Dec. 3, 2008	High-Yield CDs: Protect Your Money by Checking the Fine Print	Investor Publications
Nov. 21, 2008	Select SEC and Market Data 2008 (PDF)	Select SEC and Market Data
Nov. 4, 2008	After-Hours Trading: Understanding the Risks	Investor Publications
Oct. 31, 2008	Report on Administrative Proceedings for Period April 1, 2008 through September 30, 2008 (PDF)	Special Studies
Oct. 16, 2008	2008 Inventory (PDF)	FAIR Act
Oct. 14, 2008	E-Government Act Implementation Updates: FY 2008 Update (PDF)
July 14, 2008	Promissory Notes: Promises, Problems (PDF)	Investor Publications
July 8, 2008	Summary Report of Issues Identified in the Commission Staff's Examinations of Select Credit Rating Agencies (PDF)	Special Studies
July 1, 2008	Getting Info About Companies	Investor Publications
June 9, 2008	Evaluating Your Retirement Options: The 403(b) Plan	Investor Publications
June 1, 2008	Annual Report to Congress - June 26, 2007 to June 25, 2008 (PDF)	Annual Reports
April 30, 2008	Report on Administrative Proceedings For Period October 1, 2007 through March 31, 2008 (PDF)	Special Studies
March 31, 2008	2007 Report (PDF)	Buy American Act
March 24, 2008	Investment Choices and Methods	Investor Publications
March 3, 2008	OMB Exhibit 300 Reports FY 2009	Budget Reports
Feb. 4, 2008	Congressional Justification FY 2009 in Brief (PDF)	Budget Reports
Jan. 31, 2008	Mini-Tender Offers: Tips for Investors	Investor Publications
Jan. 1, 2008	2008 Annual Report — Performance and Accountability Report	Annual Reports
Jan. 1, 2008	2008 Citizens’ Report	Annual Reports
Nov. 15, 2007	Select SEC and Market Data 2007 (PDF)	Select SEC and Market Data
Oct. 31, 2007	Report on Administrative Proceedings for Period April 1, 2007 through September 30, 2007 (PDF)	Special Studies
Oct. 15, 2007	E-Government Act Implementation Updates: FY 2007 Update (PDF)
Aug. 22, 2007	2007 Inventory (PDF)	FAIR Act
Aug. 15, 2007	Avoiding Internet Investment Scams: Tips for Investors	Investor Publications
Aug. 1, 2007	"Pro Forma" Financial Information: Tips for Investors	Investor Publications
Aug. 1, 2007	Oil and Gas Scams: Common Red Flags and Steps You Can Take to Protect Yoursel	Investor Publications
Aug. 1, 2007	Periodic Payment Plans	Investor Publications
Aug. 1, 2007	Privacy Choices for Your Personal Financial Information	Investor Publications
Aug. 1, 2007	Ask Questions: Questions You Should Ask About Your Investments and What To Do If You Run Into Problems	Investor Publications
Aug. 1, 2007	Get the Facts on Saving and Investing	Investor Publications
Aug. 1, 2007	Invest Wisely: Advice From Your Securities Industry Regulators	Investor Publications
Aug. 1, 2007	Pregunte (folleto en Espanol) ("Ask Questions" brochure in Spanish)	Investor Publications
Aug. 1, 2007	Tips for Online Investing: What You Need to Know About Trading In Fast-Moving Markets	Investor Publications
July 31, 2007	Form for Taking Notes	Investor Publications
May 8, 2007	Mutual Fund Investing: Look at More Than a Fund's Past Performance	Investor Publications
April 27, 2007	Report on Administrative Proceedings for Period October 1, 2006 through March 31, 2007 (PDF)	Special Studies
March 29, 2007	Report on Refunds, Sales Practices, and Revenues from Periodic Payment Plans (PDF)	Special Studies
March 29, 2007	2006 Report (PDF)	Buy American Act
March 8, 2007	Report Concerning Examinations of Options Order Routing and Execution (PDF)	Special Studies
March 1, 2007	Select SEC and Market Data 2006 (PDF)	Select SEC and Market Data
Feb. 5, 2007	2008 Performance Budget (PDF)	Budget Reports
Feb. 5, 2007	Beginners' Guide to Financial Statement	Investor Publications
Feb. 5, 2007	Congressional Justification FY 2008 (PDF)	Budget Reports
Jan. 25, 2007	Report on Administrative Proceedings for Period April 1, 2005 through September 30, 2005 (PDF)	Special Studies
Jan. 25, 2007	Report on Administrative Proceedings for Period April 1, 2006 through September 30, 2006 (PDF)	Special Studies
Jan. 25, 2007	Report on Administrative Proceedings for Period October 1, 2005 through March 31, 2006 (PDF)	Special Studies
Jan. 1, 2007	2007 Annual Report — Performance and Accountability Report	Annual Reports
Oct. 15, 2006	E-Government Act Implementation Updates: FY 2006 Update (PDF)
Sept. 8, 2006	OMB Exhibit 300 Reports FY 2008	Budget Reports
July 7, 2006	2006 Inventory (PDF)	FAIR Act
March 24, 2006	2007 Performance Budget (PDF)	Budget Reports
March 5, 2006	2005 Report (PDF)	Buy American Act
March 1, 2006	Select SEC and Market Data 2005 (PDF)	Select SEC and Market Data
Feb. 27, 2006	Auto-Surfing: What You Need to Kno	Investor Publications
Feb. 17, 2006	Congressional Request FY 2007 (PDF)	Budget Reports
Jan. 27, 2006	"Wrong Numbers" and Stock Tips on Your Answering Machine	Investor Publications
Jan. 1, 2006	2006 Annual Report — Performance and Accountability Report	Annual Reports
Oct. 17, 2005	Worthless Stock: How to Avoid Doubling Your Losses	Investor Publications
Oct. 13, 2005	Select SEC and Market Data 2004 (PDF)	Select SEC and Market Data
July 12, 2005	2005 Inventory (PDF)	FAIR Act
June 1, 2005	Selecting and Monitoring Pension Consultants: Tips for Plan Fiduciaries	Investor Publications
April 20, 2005	Day Trading: Your Dollars at Risk	Investor Publications
April 11, 2005	"High Yields" and Hot Air	Investor Publications
April 7, 2005	2006 Performance Budget (PDF)	Budget Reports
Feb. 15, 2005	Congressional Request FY 2006 (PDF)	Budget Reports
Jan. 18, 2005	Mutual Fund Proxy Voting Records and Policies	Investor Publications
Jan. 11, 2005	Risky Business: "Pre-IPO [Initial Public Offering]" Investing	Investor Publications
Jan. 1, 2005	2005 Annual Report — Performance and Accountability Report	Annual Reports
July 12, 2004	2004 Inventory (PDF)	FAIR Act
June 9, 2004	Variable Annuities and Variable Life Products: Questions to Ask	Investor Publications
May 21, 2004	About Settling Trades In Three Days: Introducing T+3	Investor Publications
Jan. 1, 2004	2004 Annual Report — Performance and Accountability Report	Annual Reports
Sept. 29, 2003	Implications of the Growth of Hedge Funds (PDF)	Special Studies
July 12, 2003	2003 Inventory (PDF)	FAIR Act
Jan. 1, 2003	2003 Annual Report	Annual Reports
July 12, 2002	2002 Inventory (PDF)	FAIR Act
June 24, 2002	All About Auditors	Investor Publications
Jan. 1, 2002	2002 Annual Report	Annual Reports
July 12, 2001	2001 Inventory	FAIR Act
March 1, 2001	Stock Market Fraud "Survivor" Checklist	Investor Publications
Jan. 1, 2001	2001 Annual Report	Annual Reports
Dec. 1, 2000	Report on Mutual Fund Fees and Expenses	Special Studies
Jan. 1, 2000	2000 Annual Report	Annual Reports
March 30, 1999	A Plain English Handbook: How to Create Clear SEC Disclosure Documents	Investor Publications
Jan. 1, 1999	1999 Annual Report	Annual Reports
Jan. 1, 1998	1998 Annual Report (PDF)	Annual Reports
Jan. 1, 1997	1997 Annual Report (PDF)	Annual Reports
Jan. 1, 1996	1996 Annual Report (PDF)	Annual Reports
Jan. 1, 1995	1995 Annual Report (PDF)	Annual Reports
Jan. 1, 1994	1994 Annual Report (PDF)	Annual Reports
Jan. 1, 1993	1993 Annual Report (PDF)	Annual Reports