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: 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
Date: Title: Assessment of the Office of Investor Education and Advocacy's Functions(PDF)
Inspector General
Category:
Date: Title: Semiannual Report to Congress: April 1, 2011 through September 30, 2011(PDF)
Inspector General
Category:
Date: Title: Review of Alternative Work Arrangements, Overtime Compensation, and COOP-Related Activities at the SEC(PDF)
Inspector General
Category:
Date: Title: Investigation into Allegations of Improper Preferential Treatment and Special Access in Connection with the Division of Enforcement's Investigation of Citigroup, Inc.,(PDF)
Inspector General
Category:
Date: Title: Investigation of Conflict of Interest Arising from Former General Counsel's Participation in Madoff-Related Matters(PDF)
Inspector General
Category:
Date: Title: Report on the Implementation of SEC Organizational Reform Recommendations(PDF)
Category: Special Studies
Date: Title: Excessive Payment of Living Expenses in Contravention of OPM Guidance for a Headquarters Senior Official(PDF)
Inspector General
Category:
Date: Title: Allegations of Enforcement Staff Misconduct in Insider Trading Investigation(PDF)
Inspector General
Category:
Date: Title: Assessment of SEC's Continuous Monitoring Program(PDF)
Inspector General
Category:
Date: Title: Audit of SEC's Employee Recognition Program and Recruitment, Relocation, and Retention Incentives(PDF)
Inspector General
Category:
Date: Title: Staff Summary Report on Issues Identified in Examinations of Certain Structured Securities Products Sold to Retail Investors(PDF)
Category: Special Studies
Date: Title: Report on Review of Reliance on Credit Ratings(PDF)
Category: Special Studies
Date: Title: Review of SEC Contracts for Inclusion of Language Addressing Privacy Act Requirements(PDF)
Inspector General
Category:
Date: Title: 2011 Inventory(PDF)
Category: FAIR Act
Date: Title: Oversight of and Compliance with Conditions and Representations Related to Exemptive Orders and No-Action Letters(PDF)
Inspector General
Category:
Date: Title: Establishment of the Office of Minority and Women Inclusion(PDF)
Inspector General
Category:
Date: Title: Report of Review of Economic Analyses Performed by the Securities and Exchange Commission in Connection with Dodd-Frank Act Rulemakings(PDF)
Inspector General
Category:
Date: Title: Improper Actions Relating to the Leasing of Office Space(PDF)
Inspector General
Category:
Date: Title: Study and Recommendations on Section 404(b) of the Sarbanes-Oxley Act of 2002 For Issuers with Public Float Between $75 and $250 Million(PDF)
Category: Special Studies
Date: Title: Report on Administrative Proceedings for the Period October 1, 2010 through March 31, 2011(PDF)
Category: Special Studies
Date: Title: Joint Study on the Feasibility of Mandating Algorithmic Descriptions for Derivatives(PDF)
Category: Special Studies
Date: Title: 2010 Report(PDF)
Category: Buy American Act
Date: Title: The SEC's Implementation of and Compliance with Homeland Security Presidential Directive 12(PDF)
Inspector General
Category:
Date: Title: Semiannual Report to Congress: October 1, 2010 through March 31, 2011(PDF)
Inspector General
Category:
Date: Title: SEC's Oversight of the Securities Investor Protection Corporation's Activities(PDF)
Inspector General
Category:
Date: Title: OCIE Regional Offices’ Referrals to Enforcement(PDF)
Inspector General
Category:
Date: Title: Audit of the SEC Budget Execution Cycle(PDF)
Inspector General
Category:
Date: Title: U.S. Securities and Exchange Commission Organizational Study and Reform(PDF)
Category: Special Studies
Date: Title: SEC Complaint Center
Category: Investor Publications
Date: Title: 2010 Annual FISMA Executive Summary Report(PDF)
Inspector General
Category:
Date: Title: About the SEC’s Office of Investor Education and Advocacy
Category: Investor Publications
Date: Title: Congressional Justification FY 2012 in Brief(PDF)
Category: Budget Reports
Date: Title: Investigation of Abuse of Compensatory Time for Travel by a Headquarters Manager and Ineffective Supervision by Management(PDF)
Inspector General
Category:
Date: Title: Internet Fraud: How to Avoid Internet Investment Scams
Category: Investor Publications
Date: Title: Study and Recommendations on Improved Investor Access to Registration Information About Investment Advisers and Broker-Dealers(PDF)
Category: Special Studies
Date: Title: Study on Investment Advisers and Broker-Dealers
Category: Special Studies
Date: Title: Staff Study on Enhancing Investment Adviser Examinations
Category: Special Studies
Date: Title: Select SEC and Market Data 2010(PDF)
Category: Select SEC and Market Data
Date: Title: 2011 Annual Report
Category: Annual Reports
Date: Title: Annual Report to Congress - June 26, 2009 to June 25, 2010(PDF)
Credit Ratings
Category: Annual Reports
Date: Title: Review of Select Time-and-Materials and Labor-Hour Contracts (PDF)(PDF)
Inspector General
Category:
Date: Title: Improprieties in the Selection of Information Technology and the Award of a Sole-Source Contract(PDF)
Inspector General
Category:
Date: Title: Investigation Concerning the Role of Political Appointees in the SEC's Response to Requests Pursuant to the Freedom of Information Act and From Members of Congress(PDF)
Inspector General
Category:
Date: Title: E-Government Act Implementation Updates: FY 2010 Update(PDF)
Category:
Date: Title: Annual Report on Whistleblower Program(PDF)
Category: Special Studies
Date: Title: Report on Administrative Proceedings for Period April 1, 2010 through September 30, 2010(PDF)
Category: Special Studies
Date: Title: 2010-2015 Strategic Plan(PDF)
Category: Strategic Plan
Date: Title: Investigation of the Failure of the SEC's Los Angeles Regional Office to Uncover Fraud in Westridge Capital Management Notwithstanding Investment Adviser Examination Conducted in 2005 and Inappropriate Conduct on the Part of Senior Los Angeles Official.(PDF)
Inspector General
Category:
Date: Title: Allegations of Improper Coordination Between the SEC and Other Governmental Entities Concerning the SEC's Enforcement Action Against Goldman Sachs & Co.(PDF)
Inspector General
Category:
Date: Title: Findings Regarding the Market Events of May 6, 2010(PDF)
Category: Special Studies
Date: Title: Investigation of the Circumstances Surrounding SEC's Proposed Settlements with Bank of America, Including a Review of the Court's Rejection of the SEC's First Proposed Settlement and Analysis of the Impact of Bank of America's Status as a TARP Recipient(PDF)
Inspector General
Category:
Date: Title: Real Property Leasing Procurement Process (PDF)(PDF)
Inspector General
Category:
Date: Title: Review of PRISM Automated Procurement System Support Contracts (PDF)(PDF)
Inspector General
Category:
Date: Title: Semiannual Report to Congress: April 1, 2010 through September 30, 2010(PDF)
Inspector General
Category:
Date: Title: Semiannual Report to Congress: April 1, 2010 through September 30, 2010 Accessible Tables(PDF)
Inspector General
Category:
Date: Title: Assessment of Corporation Finance's Confidential Treatment Processes and Procedures (PDF)(PDF)
Inspector General
Category:
Date: Title: Assessment of the SEC's Privacy Program (PDF)(PDF)
Inspector General
Category:
Date: Title: Review of the SEC's Section 13(f) Reporting Requirements (PDF)(PDF)
Inspector General
Category:
Date: Title: Audit of the FedTraveler Travel Service (PDF)(PDF)
Inspector General
Category:
Date: Title: Analyzing Analyst Recommendations
Trading and Markets
Category: Investor Publications
Date: Title: Allegations of Failure of SEC to Investigate Illegal Insider Trading and Accounting Fraud; Alleged Misconduct by SEC Staff(PDF)
Inspector General
Category:
Date: Title: The SEC Mutual Fund Cost Calculator: A Tool for Comparing Mutual Funds
Category: Investor Publications
Date: Title: Life Settlements Task Force: Staff Report to the United States Securities and Exchange Commission(PDF)
Category: Special Studies
Date: Title: 2010 Inventory(PDF)
Category: FAIR Act
Date: Title: Investigation of Alleged Misconduct by the Atlanta Regional Office in its Investigation of Krispy Kreme Doughnuts, LLC(PDF)
Inspector General
Category:
Date: Title: Report on Administrative Proceedings for Period October 1, 2009 through March 31, 2010(PDF)
Category: Special Studies
Date: Title: Investigation of the SEC's Response to Concerns Regarding Robert Allen Stanford's Alleged Ponzi Scheme(PDF)
Inspector General
Category:
Date: Title: Semiannual Report to Congress: October 1, 2009 through March 31, 2010(PDF)
Inspector General
Category:
Date: Title: Semiannual Report to Congress: October 1, 2009 through March 31, 2010 Accessible Tables(PDF)
Inspector General
Category:
Date: Title: 2009 Report(PDF)
Category: Buy American Act
Date: Title: Assessment of the SEC's Bounty Program (PDF)(PDF)
Inspector General
Category:
Date: Title: 2009 FISMA Executive Summary Report (PDF)(PDF)
Inspector General
Category:
Date: Title: Assessment of the SEC Information Technology Investment Process (PDF)(PDF)
Inspector General
Category:
Date: Title: Evaluation of the SEC Encryption Program (PDF)(PDF)
Inspector General
Category:
Date: Title: Evaluation of the SEC Privacy Program (PDF)(PDF)
Inspector General
Category:
Date: Title: Management and Oversight of Interagency Acquisition Agreements at the SEC (PDF)(PDF)
Inspector General
Category:
Date: Title: Management Alert – Data Security Vulnerabilities (PDF)(PDF)
Inspector General
Category:
Date: Title: Failure to Timely Investigate Allegations of Financial Fraud(PDF)
Inspector General
Category:
Date: Title: Congressional Justification FY 2011 in Brief(PDF)
Category: Budget Reports
Date: Title: Unauthorized Disclosure of Non-Public Information(PDF)
Inspector General
Category:
Date: Title: Allegations of Conflict to Interest, Improper Use of Non-Public Information and Failure to Take Sufficient Action Against Fraudlent Company(PDF)
Inspector General
Category:
Date: Title: 2010 Annual Report
Category: Annual Reports
Date: Title: Five Questions to Ask Before You Invest
Category: Investor Publications
Date: Title: Exhibits to Report of Investigation
Inspector General
Category:
Date: Title: Beginners’ Guide to Investing
Category: Investor Publications
Date: Title: Fake Seals and Phony Numbers: How Fraudsters Try to Look Legit
Category: Investor Publications
Date: Title: SIPC Exposes Phony "Look-Alike" Web Site
Enforcement
Category: Investor Publications
Date: Title: Taking Stock: Getting Your Fiscal Act Together
Category: Investor Publications
Date: Title: Disclosures of Non-Public Procurement Information and Lack of Candor at Headquarters(PDF)
Inspector General
Category:
Date: Title: Allegations of Retaliatory Conduct by Division of Enforcement Staff(PDF)
Inspector General
Category:
Date: Title: Review of the Commission's Processes for Selecting Investment Advisers and Investment Companies for Examination(PDF)
Inspector General
Category:
Date: Title: Cold Calling: Unsolicited Calls from Brokers
Category: Investor Publications
Date: Title: Select SEC and Market Data 2009(PDF)
Category: Select SEC and Market Data
Date: Title: E-Government Act Implementation Updates: FY 2009 Update(PDF)
Category:
Date: Title: Guide to Identifying and Avoiding Securities Fraud
Category: Investor Publications
Date: Title: Allegations of Misconduct by Current and Former SEC Officials at the Boston Regional Office(PDF)
Inspector General
Category:
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