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
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
Margin: Borrowing Money to Pay for Stocks Investor Publications
Transferring your Brokerage Account: Tips on Avoiding Delays Investor Publications
2008 Report (PDF) Buy American Act
Execution Quality Statistics: How to Find Information on Order Execution and Routing Practices Investor Publications
"Senior" Specialists and Advisors: What You Should Know About Professional Designations Investor Publications
Online Brokerage Accounts: What You Can Do to Safeguard Your Money and Your Personal Information Investor Publications
The Fleecing of Foreign Investors: Avoid Getting Burned by "Hot" U.S. Stocks Investor Publications
2009 Annual Report Annual Reports
SEC's Congressionally Mandated Study on Mark-to-Market Accounting (PDF) Special Studies
High-Yield CDs: Protect Your Money by Checking the Fine Print Investor Publications
Select SEC and Market Data 2008 (PDF) Select SEC and Market Data
After-Hours Trading: Understanding the Risks Investor Publications
Report on Administrative Proceedings for Period April 1, 2008 through September 30, 2008 (PDF) Special Studies
2008 Inventory (PDF) FAIR Act
E-Government Act Implementation Updates: FY 2008 Update (PDF)
Promissory Notes: Promises, Problems (PDF) Investor Publications
Summary Report of Issues Identified in the Commission Staff's Examinations of Select Credit Rating Agencies (PDF) Special Studies
Getting Info About Companies Investor Publications
Evaluating Your Retirement Options: The 403(b) Plan Investor Publications
Annual Report to Congress - June 26, 2007 to June 25, 2008 (PDF) Annual Reports
Report on Administrative Proceedings For Period October 1, 2007 through March 31, 2008 (PDF) Special Studies
2007 Report (PDF) Buy American Act
Investment Choices and Methods Investor Publications
OMB Exhibit 300 Reports FY 2009 Budget Reports
Congressional Justification FY 2009 in Brief (PDF) Budget Reports
Mini-Tender Offers: Tips for Investors Investor Publications
2008 Performance and Accountability Report Annual Reports
2008 Citizens Report Annual Reports
Select SEC and Market Data 2007 (PDF) Select SEC and Market Data
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
Oil and Gas Scams: Common Red Flags and Steps You Can Take to Protect Yoursel Investor Publications
Periodic Payment Plans Investor Publications
Privacy Choices for Your Personal Financial Information Investor Publications
Ask Questions: Questions You Should Ask About Your Investments and What To Do If You Run Into Problems Investor Publications
Get the Facts on Saving and Investing Investor Publications
Invest Wisely: Advice From Your Securities Industry Regulators 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
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, 2005 through September 30, 2005 (PDF) Special Studies
Report on Administrative Proceedings for Period April 1, 2006 through September 30, 2006 (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: Joint SEC/NASD/NYSE Report of Examinations of Broker-Dealers Regarding Discounts on Front-End Sales Charges on Mutual Funds Studies and Reports
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
Report Pursuant to Section 704 of the Sarbanes-Oxley Act of 2002 (PDF) Studies and Reports
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