Skip to search field Skip to main content

Official websites use .gov
A .gov website belongs to an official government organization in the United States.

Secure .gov websites use HTTPS
A lock () or https:// means you’ve safely connected to the .gov website. Share sensitive information only on official, secure websites.

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:

Division or Office:


Date Sort descending	Title	Category
April 15, 2003	Report on Administrative Proceedings for Period October 1, 2002 through March 31, 2003	Special Studies
April 7, 2003	Interagency Paper on Sound Practices to Strengthen the Resilience of the U.S. Financial System	Special Studies
March 11, 2003	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
Feb. 3, 2003	Staff Report: Enhancing Disclosure in the Mortgage-Backed Securities Markets	Special Studies
Jan. 24, 2003	Report on the Role and Function of Credit Rating Agencies in the Operation of the Securities Markets	Special Studies
Jan. 24, 2003	Study and Report on Violations by Securities Professionals	Special Studies
Jan. 24, 2003	Report Pursuant to Section 308(c) of the Sarbanes Oxley Act of 2002	Special Studies
Jan. 24, 2003	Report Pursuant to Section 704 of the Sarbanes-Oxley Act of 2002 (PDF)	Studies and Reports
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
April 15, 1997	Report on the Practice of Preferencing	Special Studies
Jan. 1, 1997	1997 Annual Report (PDF)	Annual Reports
July 24, 1996	Report of the Advisory Committee on the Capital Formation and Regulatory Processes	Special Studies
July 8, 1996	Summary of Comments and Discussion Regarding Protections for Senior Citizens and Qualified Retirement Plans	Special Studies
March 5, 1996	The Joint Regulatory Sales Practice Sweep Report	Special Studies
March 5, 1996	Report of the Task Force on Disclosure Simplification	Special Studies
Jan. 1, 1996	1996 Annual Report (PDF)	Annual Reports
June 20, 1995	Report On Broker-Dealer Compensation	Special Studies
April 10, 1995	Report On Broker-Dealer Compensation	Special Studies
Jan. 1, 1995	1995 Annual Report (PDF)	Annual Reports
Sept. 26, 1994	Mutual Funds and Derivative Instruments	Studies and Reports
Sept. 22, 1994	Personal Investment Activities of Investment Company Personnel	Special Studies
Sept. 4, 1994	Report on the Status of the Recommendations From the Large Firm Project Report	Special Studies
May 1, 1994	The Large Firm Project	Special Studies
Jan. 1, 1994	1994 Annual Report (PDF)	Annual Reports
Jan. 1, 1993	1993 Annual Report (PDF)	Annual Reports
Jan. 1, 1992	1992 Annual Report (PDF)	Annual Reports
Jan. 1, 1991	1991 Annual Report (PDF)	Annual Reports
Jan. 1, 1990	1990 Annual Report (PDF)	Annual Reports
Jan. 1, 1989	1989 Annual Report (PDF)	Annual Reports
Jan. 1, 1988	1988 Annual Report (PDF)	Annual Reports
Jan. 1, 1987	1987 Annual Report (PDF)	Annual Reports
Jan. 1, 1986	1986 Annual Report (PDF)	Annual Reports
Jan. 1, 1985	1985 Annual Report (PDF)	Annual Reports
Jan. 1, 1984	1984 Annual Report (PDF)	Annual Reports
Jan. 1, 1983	1983 Annual Report (PDF)	Annual Reports
Jan. 1, 1982	1982 Annual Report (PDF)	Annual Reports
Jan. 1, 1981	1981 Annual Report (PDF)	Annual Reports
Jan. 1, 1980	1980 Annual Report (PDF)	Annual Reports
Jan. 1, 1979	1979 Annual Report (PDF)	Annual Reports
Jan. 1, 1978	1978 Annual Report (PDF)	Annual Reports
Jan. 1, 1977	1977 Annual Report (PDF)	Annual Reports
Jan. 1, 1976	1976 Annual Report (PDF)	Annual Reports
Jan. 1, 1975	1975 Annual Report (PDF)	Annual Reports
Jan. 1, 1974	1974 Annual Report (PDF)	Annual Reports
Jan. 1, 1973	1973 Annual Report (PDF)	Annual Reports
Jan. 1, 1972	1972 Annual Report (PDF)	Annual Reports
Jan. 1, 1971	1971 Annual Report (PDF)	Annual Reports
Jan. 1, 1970	1970 Annual Report (PDF)	Annual Reports
Jan. 1, 1969	1969 Annual Report (PDF)	Annual Reports
Jan. 1, 1968	1968 Annual Report (PDF)	Annual Reports
Jan. 1, 1967	1967 Annual Report (PDF)	Annual Reports
Jan. 1, 1966	1966 Annual Report (PDF)	Annual Reports
Jan. 1, 1965	1965 Annual Report (PDF)	Annual Reports
Jan. 1, 1964	1964 Annual Report (PDF)	Annual Reports
Jan. 1, 1963	1963 Annual Report (PDF)	Annual Reports
Jan. 1, 1962	1962 Annual Report (PDF)	Annual Reports
Jan. 1, 1961	1961 Annual Report (PDF)	Annual Reports
Jan. 1, 1960	1960 Annual Report (PDF)	Annual Reports
Jan. 1, 1959	1959 Annual Report (PDF)	Annual Reports
Jan. 1, 1958	1958 Annual Report (PDF)	Annual Reports
Jan. 1, 1957	1957 Annual Report (PDF)	Annual Reports
Jan. 1, 1956	1956 Annual Report (PDF)	Annual Reports
Jan. 1, 1955	1955 Annual Report (PDF)	Annual Reports
Jan. 1, 1954	1954 Annual Report (PDF)	Annual Reports
Jan. 1, 1953	1953 Annual Report (PDF)	Annual Reports
Jan. 1, 1952	1952 Annual Report (PDF)	Annual Reports
Jan. 1, 1951	1951 Annual Report (PDF)	Annual Reports
Jan. 1, 1950	1950 Annual Report (PDF)	Annual Reports
Jan. 1, 1949	1949 Annual Report (PDF)	Annual Reports
Jan. 1, 1948	1948 Annual Report (PDF)	Annual Reports
Jan. 1, 1947	1947 Annual Report (PDF)	Annual Reports
Jan. 1, 1946	1946 Annual Report (PDF)	Annual Reports
Jan. 1, 1945	1945 Annual Report (PDF)	Annual Reports
Jan. 1, 1944	1944 Annual Report (PDF)	Annual Reports
Jan. 1, 1943	1943 Annual Report (PDF)	Annual Reports
Jan. 1, 1942	1942 Annual Report (PDF)	Annual Reports
Jan. 1, 1941	1941 Annual Report (PDF)	Annual Reports
Jan. 1, 1940	1940 Annual Report (PDF)	Annual Reports
Jan. 1, 1939	1939 Annual Report (PDF)	Annual Reports
Jan. 1, 1938	1938 Annual Report (PDF)	Annual Reports
Jan. 1, 1937	1937 Annual Report (PDF)	Annual Reports
Jan. 1, 1936	1936 Annual Report (PDF)	Annual Reports
Jan. 1, 1935	1935 Annual Report (PDF)	Annual Reports