1999 Annual Report
SEC 1999 Annual Report
PDF Version
The 1999 Annual Report of the U.S. Securities and Exchange Commission is currently available in PDF (Adobe Acrobat) format. An HTML version will follow.
The PDF version does not include pages that were intentionally left blank in the print version. It also omits a few items from the Appendices.
Complete Report
This is a single large PDF file.
View the 1999 Annual Report (PDF file: 1.14 MB)
Report by Sections
Front Matter (letter of transmittal; Commission members and principal officers; biographies; office addresses)
Investor Education and Assistance
Regulation of Securities Markets
Investment Management Regulation
Compliance Inspections and Examinations
Accounting and Auditing Matters
Other Litigation and Legal Activity
Municipal Securities Initiatives
Economic Research and Analysis
Policy Management and Administrative Support
Appendix Tables 1 7 and 9 (Enforcement Cases Initiated; Enforcement Cases by Program Area; Investigations of Possible Violations of the Acts; Administrative Proceedings; Injunctive Actions; Types of Proceedings; SRO data)
Appendix Tables 10 15 and 18 25 (Certificate of Immobilization; Exemptions; Corporate Reorganizations; The Securities Industry; Broker-Dealer data; Carrying and Clearing Firms; Securities Traded on Exchanges; Appropriated Funds vs Fees Collected; Budget Estimates and Appropriations)
Last Reviewed or Updated: Sept. 23, 2004