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: Compliance Guide to the Registration and Regulation of Brokers and Dealers
Category: Investor Publications
Date: Title: Allegations of Improper Disclosures and Assurances Given(PDF)
Inspector General
Category:
Date: Title: Semiannual Report to Congress: April 1, 2009 through September 30, 2009(PDF)
Inspector General
Category:
Date: Title: Review and Analysis of OCIE Examinations of Bernard L. Madoff Investment Securities, LLC(PDF)
Inspector General
Category:
Date: Title: Audit of the Office of Acquisitions' Procurement and Contract Management Functions(PDF)
Inspector General
Category:
Date: Title: Review of the SEC's Compliance with the Freedom of Information Act(PDF)
Inspector General
Category:
Date: Title: Executive Summary: Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme(PDF)
Category: Special Studies
Date: Title: Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme
Category: Special Studies
Date: Title: Annual Report to Congress - June 26, 2008 to June 25, 2009(PDF)
Credit Ratings
Category: Annual Reports
Date: Title: Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme(PDF)
Inspector General
Category:
Date: Title: Beginners' Guide to Asset Allocation, Diversification, and Rebalancing
Category: Investor Publications
Date: Title: The SEC's Role Regarding and Oversight of Nationally Recognized Statistical Rating Organizations (NRSROs)(PDF)
Inspector General
Category:
Date: Title: Management Alert - Microsoft Premier Support Services Contract(PDF)
Inspector General
Category:
Date: Title: 2009 Inventory(PDF)
Category: FAIR Act
Date: Title: Investigation of Fort Worth Regional Office's Conduct of the Stanford Investigation(PDF)
Inspector General
Category:
Date: Title: All About Auto-Trading
Category: Investor Publications
Date: Title: How To Avoid Fraud
Category: Investor Publications
Date: Title: Warning to All Investors About Bogus "Prime Bank" and Other Banking-Related Investment Schemes
Category: Investor Publications
Date: Title: Ultra-Short Bond Funds: Know Where You're Parking Your Money
Category: Investor Publications
Date: Title: Congressional Justification FY 2010 in Brief(PDF)
Category: Budget Reports
Date: Title: Report on Administrative Proceedings for Period October 1, 2008 through March 31, 2009(PDF)
Category: Special Studies
Date: Title: Beginners’ Guide to Mutual Funds
Category: Investor Publications
Date: Title: Margin: Borrowing Money to Pay for Stocks
Category: Investor Publications
Date: Title: Transferring your Brokerage Account: Tips on Avoiding Delays
Category: Investor Publications
Date: Title: 2008 Report(PDF)
Category: Buy American Act
Date: Title: Regulation D Exemption Process(PDF)
Inspector General
Category:
Date: Title: Review of the Commission's Restacking Project(PDF)
Inspector General
Category:
Date: Title: Semiannual Report to Congress: October 1, 2008 through March 31, 2009(PDF)
Inspector General
Category:
Date: Title: 2008 Audit of Sensitive Payments(PDF)
Inspector General
Category:
Date: Title: Audit of Public Transportation Benefit Program(PDF)
Inspector General
Category:
Date: Title: OASIS System Report - 2008 FISMA(PDF)
Inspector General
Category:
Date: Title: Practices Related to Naked Short Selling Complaints and Referrals(PDF)
Inspector General
Category:
Date: Title: Execution Quality Statistics: How to Find Information on Order Execution and Routing Practices
Category: Investor Publications
Date: Title: "Senior" Specialists and Advisors: What You Should Know About Professional Designations
Category: Investor Publications
Date: Title: CTR System Report – 2008 FISMA(PDF)
Inspector General
Category:
Date: Title: Online Brokerage Accounts: What You Can Do to Safeguard Your Money and Your Personal Information
Category: Investor Publications
Date: Title: The Fleecing of Foreign Investors: Avoid Getting Burned by "Hot" U.S. Stocks
Category: Investor Publications
Date: Title: Bankruptcy: What Happens When Public Companies Go Bankrupt
Category: Investor Publications
Date: Title: Division of Enforcement's Disgorgement Waivers(PDF)
Inspector General
Category:
Date: Title: 2009 Annual Report
Category: Annual Reports
Date: Title: SEC's Congressionally Mandated Study on Mark-to-Market Accounting(PDF)
Category: Special Studies
Date: Title: High-Yield CDs: Protect Your Money by Checking the Fine Print
Category: Investor Publications
Date: Title: Select SEC and Market Data 2008(PDF)
Category: Select SEC and Market Data
Date: Title: After-Hours Trading: Understanding the Risks
Category: Investor Publications
Date: Title: Report on Administrative Proceedings for Period April 1, 2008 through September 30, 2008(PDF)
Category: Special Studies
Date: Title: 2008 Inventory(PDF)
Category: FAIR Act
Date: Title: E-Government Act Implementation Updates: FY 2008 Update(PDF)
Category:
Date: Title: Inspection of Corporation Finance Referrals(PDF)
Inspector General
Category:
Date: Title: Semiannual Report to Congress: April 1, 2008 through September 30, 2008(PDF)
Inspector General
Category:
Date: Title: Audit of Premium Travel(PDF)
Inspector General
Category:
Date: Title: Survey of Enforcement's Hub System(PDF)
Inspector General
Category:
Date: Title: 2008 FISMA Executive Summary Report (Public Redacted Version — Report Addresses Issues Associated With Information Security)(PDF)
Inspector General
Category:
Date: Title: SEC's Oversight of Bear Stearns and Related Entities: Broker-Dealer Risk Assessment Program(PDF)
Inspector General
Category:
Date: Title: SEC's Oversight of Bear Stearns and Related Entities: Consolidated-Supervised Entity Program(PDF)
Inspector General
Category:
Date: Title: Internal Control Review of the Government Purchase Card Program(PDF)
Inspector General
Category:
Date: Title: Enforcement Policies and Procedures for the Selection of Receivers, Administrators and Consultants(PDF)
Inspector General
Category:
Date: Title: Promissory Notes: Promises, Problems(PDF)
Category: Investor Publications
Date: Title: Summary Report of Issues Identified in the Commission Staff's Examinations of Select Credit Rating Agencies(PDF)
Category: Special Studies
Date: Title: Getting Info About Companies
Category: Investor Publications
Date: Title: Evaluating Your Retirement Options: The 403(b) Plan
Category: Investor Publications
Date: Title: Annual Report to Congress - June 26, 2007 to June 25, 2008(PDF)
Credit Ratings
Category: Annual Reports
Date: Title: Report on Administrative Proceedings For Period October 1, 2007 through March 31, 2008(PDF)
Category: Special Studies
Date: Title: Controls Over Laptops(PDF)
Inspector General
Category:
Date: Title: Enterprise Architecture Assessment(PDF)
Inspector General
Category:
Date: Title: SRO Rule Filing Process(PDF)
Inspector General
Category:
Date: Title: 2007 Report(PDF)
Category: Buy American Act
Date: Title: Semiannual Report to Congress: October 1, 2007 through March 31, 2008(PDF)
Inspector General
Category:
Date: Title: Background Investigations(PDF)
Inspector General
Category:
Date: Title: Usefulness of IM's Website(PDF)
Inspector General
Category:
Date: Title: Student Loan Program(PDF)
Inspector General
Category:
Date: Title: Investment Choices and Methods
Category: Investor Publications
Date: Title: OMB Exhibit 300 Reports FY 2009
Category: Budget Reports
Date: Title: Congressional Justification FY 2009 in Brief(PDF)
Category: Budget Reports
Date: Title: Mini-Tender Offers: Tips for Investors
Category: Investor Publications
Date: Title: 2008 Annual Report — Performance and Accountability Report
Category: Annual Reports
Date: Title: 2008 Citizens’ Report
Category: Annual Reports
Date: Title: Oversight of Receivers and Distribution Agents(PDF)
Inspector General
Category:
Date: Title: Select SEC and Market Data 2007(PDF)
Category: Select SEC and Market Data
Date: Title: Report on Administrative Proceedings for Period April 1, 2007 through September 30, 2007(PDF)
Category: Special Studies
Date: Title: Semiannual Report to Congress: April 1, 2007 through September 30, 2007(PDF)
Inspector General
Category:
Date: Title: E-Government Act Implementation Updates: FY 2007 Update(PDF)
Category:
Date: Title: Contract Ratifications(PDF)
Inspector General
Category:
Date: Title: Investment Company Disclosure Initiatives(PDF)
Inspector General
Category:
Date: Title: Comments on Inspections Report of Contract Ratification(PDF)
Inspector General
Category:
Date: Title: 2007 Inventory(PDF)
Category: FAIR Act
Date: Title: Avoiding Internet Investment Scams: Tips for Investors
Category: Investor Publications
Date: Title: "Pro Forma" Financial Information: Tips for Investors
Category: Investor Publications
Date: Title: Oil and Gas Scams: Common Red Flags and Steps You Can Take to Protect Yoursel
Category: Investor Publications
Date: Title: Periodic Payment Plans
Category: Investor Publications
Date: Title: Privacy Choices for Your Personal Financial Information
Category: Investor Publications
Date: Title: Ask Questions: Questions You Should Ask About Your Investments and What To Do If You Run Into Problems
Category: Investor Publications
Date: Title: Get the Facts on Saving and Investing
Category: Investor Publications
Date: Title: Invest Wisely: Advice From Your Securities Industry Regulators
Category: Investor Publications
Date: Title: Pregunte (folleto en Espanol) ("Ask Questions" brochure in Spanish)
Category: Investor Publications
Date: Title: Tips for Online Investing: What You Need to Know About Trading In Fast-Moving Markets
Category: Investor Publications
Date: Title: Form for Taking Notes
Category: Investor Publications
Date: Title: Electronic Documents Program(PDF)
Inspector General
Category:
Date: Title: Mutual Fund Investing: Look at More Than a Fund’s Past Performance
Category: Investor Publications
Date: Title: Semiannual Report to Congress: October 1, 2006 through March 31, 2007(PDF)
Inspector General
Category:
Date: Title: Report on Administrative Proceedings for Period October 1, 2006 through March 31, 2007(PDF)
Category: Special Studies
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