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.

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Reports and Publications Table

Date
Title
Category
Date: Title: Investor Testing Report on Registered Index-Linked Annuities (PDF)
Investor Advocate 		Category: Investor Publications
Date: Title: Questions You Should Ask About Your Investments brochure (PDF)
Investor Education and Advocacy 		Category: Investor Publications
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: Beginners' Guide to Financial Statements
Investor Education and Advocacy 		Category: Investor Publications
Date: Title: Affinity Fraud: How to Avoid Investment Scams That Target Group
 Category: Investor Publications
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: A Guide for Seniors: Protect Yourself Against Investment Fraud (PDF)
Category: Investor Publications
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: Researching the Federal Securities Laws Through the SEC Website
 Category: Investor Publications
Date: Title: Guide to Insider Trading: Online Publications at the SE
 Category: Investor Publications
Date: Title: Investment Advisers: What You Need to Know Before Choosing One
 Category: Investor Publications
Date: Title: Researchers and Librarians—Easy Access to Selected Securities and Investor Information at the SEC
 Category: Investor Publications
Date: Title: Mutual-to-Stock” Conversions: Tips for Investor
 Category: Investor Publications
Date: Title: About the SEC’s Office of Investor Education and Advocacy
 Category: Investor Publications
Date: Title: Internet Fraud: How to Avoid Internet Investment Scams
 Category: Investor Publications
Date: Title: Analyzing Analyst Recommendations
Trading and Markets 		Category: Investor Publications
Date: Title: The SEC Mutual Fund Cost Calculator: A Tool for Comparing Mutual Funds
 Category: Investor Publications
Date: Title: Five Questions to Ask Before You Invest
 Category: Investor Publications
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: Cold Calling: Unsolicited Calls from Brokers
 Category: Investor Publications
Date: Title: Guide to Identifying and Avoiding Securities Fraud
 Category: Investor Publications
Date: Title: Compliance Guide to the Registration and Regulation of Brokers and Dealers
 Category: Investor Publications
Date: Title: Beginners' Guide to Asset Allocation, Diversification, and Rebalancing
 Category: Investor Publications
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: 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: 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: 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: High-Yield CDs: Protect Your Money by Checking the Fine Print
 Category: Investor Publications
Date: Title: After-Hours Trading: Understanding the Risks
 Category: Investor Publications
Date: Title: Promissory Notes: Promises, Problems (PDF)
Category: Investor Publications
Date: Title: Getting Info About Companies
 Category: Investor Publications
Date: Title: Evaluating Your Retirement Options: The 403(b) Plan
 Category: Investor Publications
Date: Title: Investment Choices and Methods
 Category: Investor Publications
Date: Title: Mini-Tender Offers: Tips for Investors
 Category: Investor Publications
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: Mutual Fund Investing: Look at More Than a Fund's Past Performance
 Category: Investor Publications
Date: Title: Beginners' Guide to Financial Statement
 Category: Investor Publications
Date: Title: Lump Sum Payouts: Questions You Should Ask Yourself Before You Invest a Dime
 Category: Investor Publications
Date: Title: Auto-Surfing: What You Need to Kno
 Category: Investor Publications
Date: Title: "Wrong Numbers" and Stock Tips on Your Answering Machine
 Category: Investor Publications
Date: Title: Worthless Stock: How to Avoid Doubling Your Losses
 Category: Investor Publications
Date: Title: Selecting and Monitoring Pension Consultants: Tips for Plan Fiduciaries
 Category: Investor Publications
Date: Title: Day Trading: Your Dollars at Risk
 Category: Investor Publications
Date: Title: "High Yields" and Hot Air
 Category: Investor Publications
Date: Title: Mutual Fund Proxy Voting Records and Policies
 Category: Investor Publications
Date: Title: Pump&Dump.con: Tips for Avoiding Stock Scams on the Internet
 Category: Investor Publications
Date: Title: Risky Business: "Pre-IPO [Initial Public Offering]" Investing
 Category: Investor Publications
Date: Title: Variable Annuities and Variable Life Products: Questions to Ask
 Category: Investor Publications
Date: Title: About Settling Trades In Three Days: Introducing T+3
 Category: Investor Publications
Date: Title: All About Auditors
 Category: Investor Publications
Date: Title: Stock Market Fraud "Survivor" Checklist
 Category: Investor Publications
Date: Title: A Plain English Handbook: How to Create Clear SEC Disclosure Documents
 Category: Investor Publications
1 to 77 of 77 items