This listing includes common periodic SEC reports.

Note: For periodic FOIA reports on Alternative Trading Systems, Fails-to-Deliver Data, Registered Investment Advisers and Broker Dealers, see Frequently Requested FOIA Documents. For occasional reports on current trends and issues facing the securities industry, see SEC Special Studies.

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Date
Title
Category
Date: Title: SEC OMWI FY 2013 Annual Report to Congress(PDF)
Minority and Women Inclusion
Category: Annual Reports
Date: Title: Federal Information Security Management Act: Fiscal Year 2013 Evaluation(PDF)
Inspector General
Category:
Date: Title: Controls Over the SEC’s Government Purchase Card Program, Report No. 517(PDF)
Inspector General
Category:
Date: Title: 2013: Division of Investment Management Year in Review (PDF)
Investment Management
Category: Annual Reports
Date: Title: FY 2015 Congressional Justification and Performance Plan & FY 2013 Annual Performance Report
Category: Budget Reports
Date: Title: Q&A: Small Business and the SEC
Category: Investor Publications
Date: Title: Identity Theft: Learn How To Protect Yourself
Category: Investor Publications
Date: Title: Understanding Investment Professional Designations (tips from FINRA)
Category: Investor Publications
Date: Title: List of Exhibits to Report of Investigation(DOC)
Inspector General
Category:
Date: Title: Select SEC and Market Data 2013(PDF)
Category: Select SEC and Market Data
Date: Title: Inspector General's FY 2013 Letter to OMB on SEC's Implementation of Purchase Card Program Audit Recommendations(PDF)
Inspector General
Category:
Date: Title: Beginners' Guide to Financial Statements
Investor Education and Advocacy
Category: Investor Publications
Date: Title: 2013 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization(PDF)
Category: Special Studies
Date: Title: JOBS Act Section 108 Report to Congress on Review of Disclosure Requirements in Regulation S-K(PDF)
Category: Special Studies
Date: Title: 2013 Report and Certification (PDF)
Compliance Inspections and Examinations
Corporation Finance
Credit Ratings
Enforcement
Category: Internal Supervisory Controls
Date: Title: 2013 Agency Financial Report
Category: Annual Reports
Date: Title: Annual Report to Congress - June 26, 2012 to June 25, 2013(PDF)
Credit Ratings
Category: Annual Reports
Date: Title: Semiannual Management Report(PDF)
Category:
Date: Title: Report to Congress on Credit Rating Agency Independence Study(PDF)
Category: Special Studies
Date: Title: 2013 Annual Report on the Dodd-Frank Whistleblower Program(PDF)
Whistleblower
Category: Annual Reports
Date: Title: Report on Administrative Proceedings for the Period April 1, 2013 through September 30, 2013(PDF)
Category: Special Studies
Date: Title: Affinity Fraud: How to Avoid Investment Scams That Target Group
Category: Investor Publications
Date: Title: HSPD-12 Implementation Status Report (Personal Identification Verification (PIV) Credentials)(PDF)
Category:
Date: Title: Semiannual Report to Congress: April 1, 2013 through September 30, 2013(PDF)
Inspector General
Category:
Date: Title: Microcap Stock: A Guide for Investors
Category: Investor Publications
Date: Title: "Phishing" Fraud: How to Avoid Getting Fried by Phony Phishermen
Category: Investor Publications
Date: Title: Library of Congress Office of Inspector General System Review Report(PDF)
Inspector General
Category:
Date: Title: 2013 Inventory(PDF)
Category: FAIR Act
Date: Title: Annual Staff Report Relating to the Use of Data Collected from Private Fund Systemic Risk Reports(PDF)
Category: Special Studies
Date: Title: Implementation of the Current Guidance on Economic Analysis in SEC Rulemakings(PDF)
Inspector General
Category:
Date: Title: Use of the Current Guidance on Economic Analysis in SEC Rulemakings(PDF)
Inspector General
Category:
Date: Title: Fourth Report on the Implementation of SEC Organizational Reform Recommendations(PDF)
Category: Special Studies
Date: Title: Report on Administrative Proceedings for the Period October 1, 2012 through March 31, 2013(PDF)
Category: Special Studies
Date: Title: Office of Minority and Women Inclusion Annual Report(PDF)
Category: Annual Reports
Date: Title: A Guide for Seniors: Protect Yourself Against Investment Fraud(PDF)
Category: Investor Publications
Date: Title: FY 2014 Congressional Justification and Performance Plan & FY 2012 Annual Performance Report
Category: Budget Reports
Date: Title: Semiannual Report to Congress: October 1, 2012 through March 31, 2013(PDF)
Inspector General
Category:
Date: Title: 2012 FISMA Executive Summary(PDF)
Inspector General
Category:
Date: Title: Audit of SEC's Controls over Support Service, Expert and Consulting Service Contracts(PDF)
Inspector General
Category:
Date: Title: Audit of the SEC's Filing Fees Program(PDF)
Inspector General
Category:
Date: Title: Review of the SEC's Systems Certification and Accreditation Process(PDF)
Inspector General
Category:
Date: Title: SEC's Controls Over Sensitive/Nonpublic Information Collected and Exchanged With the Financial Stability Oversight Council and Office of Financial Research, Report (PDF)
Inspector General
Category:
Date: Title: Summary of Performance and Financial Information, Fiscal Year 2012 (PDF)(PDF)
Category: Annual Reports
Date: Title: Select SEC and Market Data 2012(PDF)
Category: Select SEC and Market Data
Date: Title: SEC FY 2012 Conference Spending(PDF)
Category: Conference Spending
Date: Title: Evaluation of the SEC's Whistleblower Program(PDF)
Inspector General
Category:
Date: Title: Rule 144: Selling Restricted and Control Securities
Category: Investor Publications
Date: Title: Trade Execution: What Every Investor Should Know
Category: Investor Publications
Date: Title: SEC FY2012 Appendix C SCI Summary(PDF)
Category: Service Contract Inventory
Date: Title: 2012 Report and Certification(PDF)
Category: Internal Supervisory Controls
Date: Title: SEC FY2012 Appendix B SCI Detail(PDF)
Category: Service Contract Inventory
Date: Title: Assigned Credit Ratings(PDF)
Category: Special Studies
Date: Title: FY 2012 Service Contract Inventory Analysis(PDF)
Category: Service Contract Inventory
Date: Title: SEC FY2011 Appendix C SCI Summary(PDF)
Category: Service Contract Inventory
Date: Title: SEC FY2011 Appendix B SCI Detail(PDF)
Category: Service Contract Inventory
Date: Title: FY 2011 Service Contract Inventory Analysis(PDF)
Category: Service Contract Inventory
Date: Title: Planned Analysis of FY 2011 Inventory(PDF)
Category: Service Contract Inventory
Date: Title: Planned Analysis of FY 2012 Inventory(PDF)
Category: Service Contract Inventory
Date: Title: Researching the Federal Securities Laws Through the SEC Website
Category: Investor Publications
Date: Title: Annual Report to Congress - June 26, 2011 to June 25, 2012(PDF)
Credit Ratings
Category: Annual Reports
Date: Title: Investigation Into Misuse of Resources and Violations of Information Technology Security Policies Within the Division of Trading and Markets
Inspector General
Category:
Date: Title: 2012 Annual Report on the Dodd-Frank Whistleblower Program(PDF)
Whistleblower
Category: Annual Reports
Date: Title: 2012 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization(PDF)
Category: Special Studies
Date: Title: Report on Administrative Proceedings for the Period April 1, 2012 through September 30, 2012(PDF)
Category: Special Studies
Date: Title: Third Report on the Implementation of SEC Organizational Reform Recommendations(PDF)
Category: Special Studies
Date: Title: JOBS Act Section 504 Report on Authority to Enforce Exchange Act Rule 12g5-1 and Subsection (b)(3)(PDF)
Category: Special Studies
Date: Title: SEC's Records Management Practices(PDF)
Inspector General
Category:
Date: Title: The Office of International Affairs Internal Operations and Travel Oversight(PDF)
Inspector General
Category:
Date: Title: Semiannual Report to Congress: April 1, 2012 through September 30, 2012(PDF)
Inspector General
Category:
Date: Title: Guide to Insider Trading: Online Publications at the SE
Category: Investor Publications
Date: Title: Report on Credit Rating Standardization(PDF)
Category: Special Studies
Date: Title: SEC Staff Study Regarding Financial Literacy Among Investors
Category: Special Studies
Date: Title: Investment Advisers: What You Need to Know Before Choosing One
Category: Investor Publications
Date: Title: Report on the Municipal Securities Market(PDF)
Category: Special Studies
Date: Title: JOBS Act Section 106 Report to Congress on Decimalization(PDF)
Category: Special Studies
Date: Title: 2012 Inventory(PDF)
Category: FAIR Act
Date: Title: Report on Administrative Proceedings for the Period October 1, 2011 through March 31, 2012(PDF)
Category: Special Studies
Date: Title: Review of the SEC's Continuity of Operations Program(PDF)
Inspector General
Category:
Date: Title: Study on the Cross-Border Scope of the Private Right of Action Under Section 10(b) of the Securities Exchange Act of 1934
Category: Special Studies
Date: Title: Office of Minority and Women Inclusion Annual Report(PDF)
Category: Annual Reports
Date: Title: Semiannual Report to Congress: October 1, 2011 through March 31, 2012(PDF)
Inspector General
Category:
Date: Title: Report on the Implementation of SEC Organizational Reform Recommendations(PDF)
Category: Special Studies
Date: Title: SEC's Controls Over Government Furnished Equipment and Contractor Acquired Property(PDF)
Inspector General
Category:
Date: Title: SEC's Use of Justifications and Approvals in Sole-Source Contracting(PDF)
Inspector General
Category:
Date: Title: Assessment of SEC's System and Network Logs(PDF)
Inspector General
Category:
Date: Title: Annual Report to Congress - June 26, 2010 to June 25, 2011(PDF)
Credit Ratings
Category: Annual Reports
Date: Title: Congressional Justification FY 2013 in Brief(PDF)
Category: Budget Reports
Date: Title: 2011 Annual FISMA Executive Summary Report(PDF)
Inspector General
Category:
Date: Title: Joint Report on International Swap Regulation(PDF)
Category: Special Studies
Date: Title: Follow-Up Review of Cost-Benefit Analyses in Selected SEC Dodd-Frank Act Rulemakings(PDF)
Inspector General
Category:
Date: Title: Protect Your Money: Check Out Brokers and Investment Advisers
Category: Investor Publications
Date: Title: Researchers and Librarians—Easy Access to Selected Securities and Investor Information at the SEC
Category: Investor Publications
Date: Title: Select SEC and Market Data 2011(PDF)
Category: Select SEC and Market Data
Date: Title: 2012 Agency Financial Report
Category: Annual Reports
Date: Title: 2011 Report and Certification(PDF)
Category: Internal Supervisory Controls
Date: Title: 2011 Annual Report on the Dodd-Frank Whistleblower Program(PDF)
Whistleblower
Category: Annual Reports
Date: Title: Report on Administrative Proceedings for the Period April 1, 2011 through September 30, 2011(PDF)
Category: Special Studies
Date: Title: “Mutual-to-Stock” Conversions: Tips for Investor
Category: Investor Publications
Date: Title: Destruction of Records Related to Matters Under Inquiry and Incomplete Statements to the National Archives and Records Administration Regarding that Destruction by the Division of Enforcement(PDF)
Inspector General
Category:
Date: Title: 2011 Summary Report of Commission Staff's Examinations of Each Nationally Recognized Statistical Rating Organization(PDF)
Category: Special Studies
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