1999 Annual Report

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Report by Sections

• Front Matter (letter of transmittal; Commission members and principal officers; biographies; office addresses)
• Enforcement
• International Affairs
• Investor Education and Assistance
• Regulation of Securities Markets
• Investment Management Regulation
• Compliance Inspections and Examinations
• Full Disclosure System
• Accounting and Auditing Matters
• Other Litigation and Legal Activity
• Municipal Securities Initiatives
• Economic Research and Analysis
• Policy Management and Administrative Support
• Endnotes to the Report
• 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)