Reports and Publications

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.

Date Title Category
Semi-Annual Report to Congress Regarding Public and Internal Use of Machine-Readable Data for Corporate Disclosures (December 2024) (PDF) Annual Reports
2024 OASB Annual Report (PDF) Annual Reports
FY24 OIAD Report On Activities (PDF) Annual Reports
2024 Annual Report to Congress on the Dodd-Frank Whistleblower Program (PDF) Annual Reports
SEC FY 2024 Conference Spending (PDF) Conference Spending
2024 Agency Financial Report Annual Reports
Semiannual Management Report (November 2024) (PDF)
Report on Administrative Proceedings for the Period April 1, 2024, through September 30, 2024 (PDF) Special Studies
2025 Examination Priorities (PDF)
FY23 SEC Affirmative Action Plan for Persons with Disabilities (PDF) Annual Reports
FY23 EEO Annual Program Status Report (PDF) Annual Reports
Report on the 43rd Annual Small Business Forum (PDF) Annual Reports
FY25 OIAD Report On Objectives (PDF) Annual Reports
Report on Security-Based Swaps (Issued on June 20, 2024) (PDF)
Semi-Annual Report to Congress Regarding Public and Internal Use of Machine-Readable Data for Corporate Disclosures (June 2024) (PDF) Annual Reports
December 2023 Registered Fund Statistics Report (PDF) Select SEC and Market Data
FY 2021 Service Contract Inventory Planned Analysis for FY 2022 (PDF) Service Contract Inventory
FY 2021 SEC Service Contract Inventory (PDF) Service Contract Inventory
2023 Investment Adviser Statistics (PDF) Select SEC and Market Data
Semiannual Management Report (May 2024) (PDF)
Women and Minority-Owned Businesses in Regulation Crowdfunding Report (PDF)
Report on Administrative Proceedings For the Period October 1, 2023, through March 31, 2024 (PDF) Special Studies
2023 Registered Fund Statistics Report (PDF) Select SEC and Market Data
FY23 Annual No FEAR Act Report to Congress (PDF) Annual Reports
2022 OMWI Diversity Assessment Report (PDF) Annual Reports
SEC OMWI FY 2023 Annual Report to Congress (PDF) Annual Reports
Fiscal Year 2025 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2023 Annual Performance Report Budget Reports
2023 Annual Staff Report Relating to the Use of Form PF Data (PDF) Special Studies
Federal Employee Viewpoint Survey 2023 Federal Employee Viewpoint Survey
Staff Report on Nationally Recognized Statistical Rating Organizations (February 2024) (PDF)
SEC FY 2023 Conference Spending (PDF) Conference Spending
Semi-Annual Report to Congress Regarding Public and Internal Use of Machine-Readable Data for Corporate Disclosures (December 2023) (PDF) Annual Reports
FY22 SEC Affirmative Action Plan for Persons with Disabilities (PDF) Annual Reports
FY22 EEO Annual Program Status Report (PDF) Annual Reports
2023 Report on the Review of the Definition of “Accredited Investor” (PDF) Special Studies
2023 OASB Annual Report (PDF) Annual Reports
2023 Report and Certification of Internal Supervisory Controls (PDF) Internal Supervisory Controls
Federal Employee Viewpoint Survey 2022 (XLSX) Federal Employee Viewpoint Survey
2023 OIAD Annual Report (PDF) Annual Reports
Report on Security-Based Swaps (Issued on November 17, 2023) (PDF)
2023 Annual Report to Congress on the Dodd-Frank Whistleblower Program (PDF) Annual Reports
Semiannual Management Report (November 2023) (PDF)
2023 Agency Financial Report Annual Reports
Report on Administrative Proceedings for the Period April 1, 2023 through September 30, 2023 (PDF) Special Studies
2024 Examination Priorities (PDF)
Investor Testing Report on Registered Index-Linked Annuities (PDF) Investor Publications
2023 Small Business Forum Report (PDF) Annual Reports
FY 2020 Service Contract Inventory Planned Analysis for FY 2021 (PDF) Service Contract Inventory
FY 2020 SEC Service Contract Inventory (PDF) Service Contract Inventory
Diversity, Equity, Inclusion, and Accessibility (DEIA) Strategic Plan Strategic Plan
Semi-Annual Report to Congress Regarding Public and Internal Use of Machine-Readable Data for Corporate Disclosures (June 2023) (PDF) Annual Reports
FY24 OIAD Report On Objectives (PDF) Annual Reports
Semiannual Management Report (May 2023) (PDF)
Report on Administrative Proceedings For the Period October 1, 2022 through March 31, 2023 (PDF) Special Studies
FY22 Annual No FEAR Act Report to Congress (PDF) Annual Reports
SEC OMWI FY 2022 Annual Report to Congress (PDF) Annual Reports
Report on Security-Based Swaps (Issued on March 20, 2023) (PDF)
Fiscal Year 2024 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2022 Annual Performance Report Budget Reports
2023 Examination Priorities (PDF)
Staff Report on Nationally Recognized Statistical Rating Organizations (February 2023) (PDF)
OCDO Data Strategy FY 2022-2026 (PDF) Strategic Plan
2022 Report and Certification of Internal Supervisory Controls (PDF) Internal Supervisory Controls
FY21 EEO Annual redacted report 508 (PDF) Annual Reports
FY21 SEC Affirmative Action Plan for Persons with Disabilities (PDF)
2022 OASB Annual Report (PDF) Annual Reports
FY22 OIAD Report On Activities (PDF) Annual Reports
2022 Annual Staff Report Relating to the Use of Form PF Data (PDF) Special Studies
2022 Annual Report on SEC Website Modernization Pursuant to Section 3(d) of the 21st Century Integrated Digital Experience Act (PDF) Annual Reports
SEC FY 2022 Conference Spending (PDF) Conference Spending
2022-2026 Strategic Plan (PDF) Strategic Plan
Semiannual Management Report (November 2022) (PDF)
2022 Annual Report to Congress on the Dodd-Frank Whistleblower Program (PDF) Annual Reports
2022 Agency Financial Report Annual Reports
Federal Employee Viewpoint Survey 2021 (XLSX) Federal Employee Viewpoint Survey
Report on Administrative Proceedings for the Period April 1, 2022 through September 30, 2022 (PDF) Special Studies
2022 Small Business Forum Report (PDF) Annual Reports
Report on Security-Based Swaps (Based on Trade State Data for March 31, 2022) (PDF)
Office of the Investor Advocate Report on Objectives for Fiscal Year 2023 (PDF) Annual Reports
FAIR Inventory 2022 (PDF) FAIR Act
FY21 Annual No FEAR Act Report to Congress (PDF) Annual Reports
Semiannual Management Report (May 2022) (PDF)
2020 OMWI Diversity Assessment Report (PDF)
Report on Administrative Proceedings for the Period October 1, 2021 through March 31, 2022 (PDF) Special Studies
SEC OMWI FY 2021 Annual Report to Congress (PDF) Annual Reports
2022 Examination Priorities (PDF)
Fiscal Year 2023 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2021 Annual Performance Report (PDF) Budget Reports
Staff Report on the Issues Affecting the Provision of and Reliance Upon Investment Research Into Small Issuers (PDF)
Study on Threshold Limits Applicable to Diversified Companies (PDF) Special Studies
Semiannual Management Report (November 2021) (PDF)
Staff Report on Nationally Recognized Statistical Rating Organizations (January 2022) (PDF)
2021 Report and Certification of Internal Supervisory Controls (PDF) Internal Supervisory Controls
2021 Annual Report on Existing SEC Websites and Digital Services Pursuant to Section 3 of the 21st Century Integrated Digital Experience Act (PDF) Annual Reports
FY21 OIAD Report On Activities (PDF) Annual Reports
Response to Congress: Negative Net Equity Issuance (December 23, 2020) (PDF)
SEC FY 2021 Conference Spending (PDF) Conference Spending
2021 OASB Annual Report (PDF) Annual Reports
Annual Staff Report Relating to the Use of Form PF Data (PDF) Special Studies
FY21 Enforcement Results (PDF) Annual Reports
2021 Annual Report to Congress on the Dodd-Frank Whistleblower Program (PDF) Annual Reports
2021 Agency Financial Report Annual Reports
Rural Entrepreneurship and the Challenges Accessing Financial Capital: An Overview of Funding in Rural America (PDF)
Recent Disruptions and Potential Reforms in the U.S. Treasury Market: A Staff Progress Report (PDF) Special Studies
Report on Administrative Proceedings for the Period April 1, 2021 through September 30, 2021 (PDF) Special Studies
FY 2019 Service Contract Inventory with Planned Analysis of FY 2020 Inventory (PDF) Service Contract Inventory
FY 2019 Service Contract Inventory Analysis (PDF) Service Contract Inventory
Staff Report on Equity and Options Market Structure Conditions in Early 2021 (PDF)
2021 Small Business Forum Report (PDF) Annual Reports
Federal Employee Viewpoint Survey 2020 (XLSX) Federal Employee Viewpoint Survey
FY 2020 Report on Equal Employment Opportunity Programs (PDF)
FY 2020 SEC Affirmative Action Plan for Persons with Disabilities (PDF)
OASB Strategic Plan 2021-2025 (PDF) Strategic Plan
FY 2018 Service Contract Inventory with Planned Analysis of FY 2019 Inventory (PDF) Service Contract Inventory
FY 2018 Service Contract Inventory Analysis (PDF) Service Contract Inventory
Office of the Investor Advocate Report on Objectives for Fiscal Year 2022 (PDF) Annual Reports
FAIR Inventory 2021 (PDF) FAIR Act
Semiannual Management Report (May 2021) (PDF)
Fiscal Year 2022 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2020 Annual Performance Report Budget Reports
FY20 Annual No FEAR Act Report to Congress (PDF) Annual Reports
SEC OMWI FY 2020 Annual Report to Congress (PDF) Annual Reports
Report on Administrative Proceedings for the Period October 1, 2020 through March 31, 2021 (PDF) Special Studies
2021 examination priorities (PDF)
Annual Equal Employment Opportunity Program Status Report 2019 (PDF) Equal Employment Opportunity (PDF) Annual Reports
FY 2019 SEC Affirmative Action Plan for Persons with Disabilities (PDF)
2020 Report and Certification of Internal Supervisory Controls (PDF) Internal Supervisory Controls
Office of the Investor Advocate Report on Activities for FY 2020 (PDF) Annual Reports
Annual Report on SEC Website Modernization Pursuant to Section 3(d) of the 21st Century Integrated Digital Experience Act. (PDF)
2020 OASB Annual Report (PDF) Annual Reports
Annual Report to Congress on Nationally Recognized Statistical Rating Organizations - June 26, 2019 - June 25, 2020 (PDF) Annual Reports
2020 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (PDF) Annual Reports
2020 Small Business Forum Report (PDF) Annual Reports
Semiannual Management Report (November 2020) (PDF)
2020 Annual Report to Congress on the Dodd-Frank Whistleblower Program (PDF) Annual Reports
2020 Agency Financial Report Annual Reports
SEC FY 2020 Conference Spending (PDF) Conference Spending
Annual Staff Report Relating to the Use of Form PF Data (PDF) Special Studies
Division of Enforcement 2020 Annual Report (PDF) Annual Reports
Report on Administrative Proceedings for the Period April 1, 2020 through September 30, 2020 (PDF) Special Studies
FY 2016 Service Contract Inventory Analysis (PDF) Service Contract Inventory
FY 2016 Service Contract Inventory with Planned Analysis of FY 2017 Inventory (PDF) Service Contract Inventory
FY 2017 Service Contract Inventory Analysis (PDF) Service Contract Inventory
Planned Analysis of FY 2018 Inventory (PDF) Service Contract Inventory
U.S. Credit Markets Interconnectedness and the Effects of the COVID-19 Economic Shock
Staff Report on the Regulation of Clearing Agencies (PDF)
Questions You Should Ask About Your Investments brochure (PDF) Investor Publications
FY 2018 SEC Affirmative Action Plan for Persons with Disabilities (PDF)
Report to Congress on Regulation A / Regulation D Performance (PDF)
Staff Report on Algorithmic Trading in U.S. Capital Markets (PDF) Special Studies
Annual Equal Employment Opportunity Program Status Report 2018 (PDF) Equal Employment Opportunity (PDF)
FAIR Inventory 2020 (PDF) FAIR Act
Annual Equal Employment Opportunity Program Status Report 2017 (PDF) Equal Employment Opportunity (PDF)
Office of the Investor Advocate Report on Objectives for Fiscal Year 2021 (PDF) Annual Reports
Semiannual Management Report (May 2020) (PDF)
SEC OMWI FY 2019 Annual Report to Congress (PDF) Annual Reports
Report on Administrative Proceedings For the Period October 1, 2019 through March 31, 2020 (PDF) Special Studies
Regulation A Lookback Study and Offering Limit Review Analysis, 2020 (PDF)
Fiscal Year 2021 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2019 Annual Performance Report Budget Reports
SEC FY 2019 Conference Spending (PDF) Conference Spending
Federal Employee Viewpoint Survey 2019 (XLSX) Federal Employee Viewpoint Survey
2019 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (PDF) Annual Reports
Annual Report to Congress on Nationally Recognized Statistical Rating Organizations - June 26, 2018 - June 25, 2019 (PDF) Annual Reports
Annual Report on Existing SEC Websites and Digital Services Pursuant to Section 3 of the 21st Century Integrated Digital Experience Act (PDF)
2020 Examination Priorities (PDF)
Semiannual Management Report (November 2019) (PDF)
Annual Staff Report Relating to the Use of Form PF Data (PDF) Special Studies
2019 Report and Certification of Internal Supervisory Controls (PDF) Internal Supervisory Controls
2019 Examination Priorities (PDF)
Office of the Investor Advocate Report on Activities for FY 2019 (PDF) Annual Reports
2019 Small Business Forum Report (PDF) Annual Reports
2019 Annual Report to Congress on the Dodd-Frank Whistleblower Program (PDF) Annual Reports
Fiscal Year 2019 Agency Financial Report Annual Reports
Division of Enforcement 2019 Annual Report (PDF) Annual Reports
Report on Administrative Proceedings For the Period April 1, 2019 through September 30, 2019 (PDF) Special Studies
Office of the Investor Advocate Report on Objectives for Fiscal Year 2020 (PDF) Annual Reports
FAIR Inventory 2019 (PDF) FAIR Act
FAIR Inventory 2018 (PDF) FAIR Act
Regulation Crowdfunding Report 2019 (PDF)
FY 2017 SEC Affirmative Action Plan for Persons with Disabilities (PDF)
SEC OMWI FY 2018 Annual Report to Congress (PDF) Annual Reports
Report on Administrative Proceedings For the Period October 1, 2018 through March 31, 2019 (PDF) Special Studies
Fiscal Year 2020 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2018 Annual Performance Report Budget Reports
Federal Employee Viewpoint Survey 2018 (XLSX) Federal Employee Viewpoint Survey
SEC FY 2018 Conference Spending (PDF) Conference Spending
2018 Report and Certification of Internal Supervisory Controls (PDF) Internal Supervisory Controls
2018 Examination Priorities (PDF)
Office of the Investor Advocate FY 2018 Report on Activities (PDF) Annual Reports
Annual Report to Congress on Nationally Recognized Statistical Rating Organization - June 26, 2017 - June 25, 2018 (PDF) Annual Reports
2018 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (PDF) Special Studies
Annual Staff Report Relating to the Use of Form PF Data (PDF) Special Studies
Fiscal Year 2018 Agency Financial Report Annual Reports
2018 Annual Report to Congress on the Dodd-Frank Whistleblower Program (PDF) Annual Reports
Division of Enforcement 2018 Annual Report (PDF) Annual Reports
Report on Administrative Proceedings For the Period April 1, 2018 through September 30, 2018 (PDF) Special Studies
2018-2022 Strategic Plan (PDF) Strategic Plan
Select SEC and Market Data 2017 (PDF) Select SEC and Market Data
Office of the Investor Advocate Report on Objectives for Fiscal Year 2019 (PDF) Annual Reports
Addendum to Division of Enforcement 2017 Annual Report (Select SEC and Market Data Fiscal 2017 – Enforcement Information Only) (PDF) Select SEC and Market Data
2017 Report and Certification of Internal Supervisory Controls (PDF) Internal Supervisory Controls
Semiannual Management Report (May 2018) (PDF)
Report on Administrative Proceedings for the Period October 1, 2017, through March 31, 2018 (PDF) Special Studies
SEC OMWI FY 2017 Annual Report to Congress (PDF) Annual Reports
Fiscal Year 2019 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2017 Annual Performance Report Budget Reports
SEC FY 2017 Conference Spending (PDF) Conference Spending
Office of the Investor Advocate FY 2017 Report on Activities (PDF) Annual Reports
Semiannual Management Report (November 2017) (PDF)
2017 Annual Report to Congress on the Dodd-Frank Whistleblower Program (PDF) Annual Reports
Division of Enforcement 2017 Annual Report (PDF)
Addendum to Division of Enforcement 2017 Annual Report (Select SEC and Market Data Fiscal 2017 – Enforcement Information Only) (addendum posted June 19, 2018) (PDF)
Fiscal Year 2017 Agency Financial Report Annual Reports
Federal Employee Viewpoint Survey 2017 (XLSX) Federal Employee Viewpoint Survey
Report on Administrative Proceedings for the Period April 1, 2017 through September 30, 2017 (PDF) Special Studies
Annual Equal Employment Opportunity Program Status Report 2016 (PDF) Equal Employment Opportunity (PDF)
FY 2015 Service Contract Inventory Analysis (PDF) Service Contract Inventory
Planned Analysis of FY 2016 Inventory (PDF) Service Contract Inventory
FAIR Inventory 2017 (PDF) FAIR Act
Access to Capital and Market Liquidity (PDF) Special Studies
Office of the Investor Advocate Report on Objectives for Fiscal Year 2018 (PDF) Annual Reports
2016 Report and Certification (PDF) Internal Supervisory Controls
Fiscal Year 2018 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2016 Annual Performance Report Budget Reports
Semiannual Management Report (May 2017) (PDF)
Report on Administrative Proceedings for the Period October 1, 2016 through March 31, 2017 (PDF) Special Studies
SEC OMWI FY 2016 Annual Report to Congress (PDF) Annual Reports
Summary of Performance and Financial Information, Fiscal Year 2016 (PDF) Annual Reports
Select SEC and Market Data 2016 (PDF) Select SEC and Market Data
2017 Examination Priorities (PDF)
SEC FY 2016 Conference Spending (PDF) Conference Spending
Annual Report to Congress on Nationally Recognized Statistical Rating Organizations - June 26, 2015 – June 25, 2016 (PDF) Annual Reports
2016 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (PDF) Special Studies
Office of the Investor Advocate FY 2016 Report on Activities (PDF) Annual Reports
Semiannual Management Report (November 2016) (PDF)
Report on Modernization and Simplification of Regulation S-K   (PDF)
2016 Annual Report to Congress on the Dodd-Frank Whistleblower Program (PDF) Annual Reports
Fiscal Year 2016 Agency Financial Report Annual Reports
Report on Administrative Proceedings for the Period April 1, 2016 through September 30, 2016 (PDF) Special Studies
Federal Employee Viewpoint Survey 2016 (XLSX) Federal Employee Viewpoint Survey
FAIR Inventory 2016 (PDF) FAIR Act
FAIR Act 2015 Inventory (PDF) FAIR Act
Commission Releases
Office of the Investor Advocate Report on Objectives for FY 2017 (PDF) Annual Reports
Semiannual Management Report (May 2016) (PDF)
Report on Administrative Proceedings For the Period October 1, 2015 through March 31, 2016 (PDF) Special Studies
SEC FY2015 Appendix B and C SCI Details (XLSX) Service Contract Inventory
2014-2018 Strategic Plan (PDF) Strategic Plan
Annual Equal Employment Opportunity Program Status Report 2015 (PDF)
SEC OMWI FY 2015 Annual Report to Congress (PDF) Annual Reports
Summary of Performance and Financial Information, Fiscal Year 2015 (PDF) Annual Reports
FY 2017 Congressional Justification & FY 2015 Annual Performance Report and FY 2017 Annual Performance Plan Budget Reports
Select SEC and Market Data 2015 (PDF) Select SEC and Market Data
SEC FY2015 Supplement SCI (XLSX) Service Contract Inventory
Planned Analysis of FY 2015 Inventory (PDF) Service Contract Inventory
2016 Examination Priorities (PDF)
SEC FY 2015 Conference Spending (PDF) Conference Spending
2015 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (PDF) Special Studies
Annual Report to Congress on Nationally Recognized Statistical Rating Organizations - June 26, 2014 – June 25, 2015 (PDF) Annual Reports
2015 Report and Certification (PDF) Internal Supervisory Controls
Office of the Investor Advocate FY 2015 Report on Activities (PDF) Annual Reports
Report on the Review of the Definition of “Accredited Investor” (PDF) Special Studies
Semiannual Management Report (November 2015) (PDF)
Fiscal Year 2015 Agency Financial Report Annual Reports
2015 Annual Report on the Dodd-Frank Whistleblower Program (PDF) Annual Reports
SEC FY 2014 Conference Spending (PDF) Conference Spending
Report on Administrative Proceedings for the Period April 1, 2015 through September 30, 2015 (PDF) Special Studies
Joint Staff Report: The U.S. Treasury Market on October 15, 2014 (PDF) Special Studies
Office of the Investor Advocate Report on Objectives for FY 2016 (PDF) Annual Reports
Semiannual Management Report (May 2015) (PDF)
Report on Administrative Proceedings For the Period October 1, 2014 through March 31, 2015 (PDF) Special Studies
OCIE-FINRA Report on National Senior Investor Initiative (PDF)
Annual Equal Employment Opportunity Program Status Report 2014 (PDF)
SEC OMWI FY 2014 Annual Report to Congress (PDF) Annual Reports
Summary of Performance and Financial Information, Fiscal Year 2014 (PDF) Annual Reports
Select SEC and Market Data 2014 (PDF) Select SEC and Market Data
FY 2016 Congressional Justification & FY 2014 Annual Performance Report and FY 2016 Annual Performance Plan Budget Reports
SEC FY2013 Appendix C SCI Summary (PDF) Service Contract Inventory
SEC FY2013 Appendix B SCI Detail (PDF) Service Contract Inventory
FY 2013 Service Contract Inventory Analysis (PDF) Service Contract Inventory
Planned Analysis of FY 2013 Inventory (PDF) Service Contract Inventory
2015 Examination Priorities (PDF)
2014 Results for Regions (PDF) Federal Employee Viewpoint Survey
2014 Results for Headquarters (PDF) Federal Employee Viewpoint Survey
2014 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (PDF) Special Studies
Annual Report to Congress - June 26, 2013 – June 25, 2014 (PDF) Annual Reports
Office of the Investor Advocate FY 2014 Report on Activities (PDF)
2014 Report and Certification (PDF) Internal Supervisory Controls
Semiannual Management Report (November 2014) (PDF)
2014 Annual Report on the Dodd-Frank Whistleblower Program (PDF) Annual Reports
Fiscal Year 2014 Agency Financial Report Annual Reports
SEC FY2014 Appendix B and C SCI Details (XLSX) Service Contract Inventory
FY 2014 Service Contract Inventory Analysis (PDF) Service Contract Inventory
SEC FY2014 Supplement SCI (XLSX) Service Contract Inventory
Planned Analysis of FY 2014 Inventory (PDF) Service Contract Inventory
SEC FY 2013 Conference Spending (PDF) Conference Spending
Report on Administrative Proceedings for the Period April 1, 2014 through September 30, 2014 (PDF) Special Studies
2014 Inventory (PDF) FAIR Act
Annual Staff Report Relating to the Use of Data Collected from Private Fund Systemic Risk Reports (PDF) Special Studies
Report on Objectives - Office of the Investor Advocate (PDF) Annual Reports
Short Sale Position and Transaction Reporting (PDF) Special Studies
Semiannual Management Report (May 2014) (PDF)
Report on Administrative Proceedings For the Period October 1, 2013 through March 31, 2014 (PDF) Special Studies
SEC OMWI FY 2013 Annual Report to Congress (PDF) Annual Reports
FY 2015 Congressional Justification and Performance Plan & FY 2013 Annual Performance Report Budget Reports
Q&A: Small Business and the SEC Investor Publications
Identity Theft: Learn How To Protect Yourself Investor Publications
Understanding Investment Professional Designations (tips from FINRA) Investor Publications
Select SEC and Market Data 2013 (PDF) Select SEC and Market Data
Beginners' Guide to Financial Statements Investor Publications
2014 Examination Priorities (PDF)
2013 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (PDF) Special Studies
JOBS Act Section 108 Report to Congress on Review of Disclosure Requirements in Regulation S-K (PDF) Special Studies
2013 Report and Certification (PDF) Internal Supervisory Controls
2013 Agency Financial Report Annual Reports
Annual Report to Congress - June 26, 2012 to June 25, 2013 (PDF) Annual Reports
Semiannual Management Report (November 2013) (PDF)
Report to Congress on Credit Rating Agency Independence Study (PDF) Special Studies
2013 Annual Report on the Dodd-Frank Whistleblower Program (PDF) Annual Reports
Report on Administrative Proceedings for the Period April 1, 2013 through September 30, 2013 (PDF) Special Studies
Affinity Fraud: How to Avoid Investment Scams That Target Group Investor Publications
HSPD-12 Implementation Status Report (Personal Identification Verification (PIV) Credentials) (PDF)
Microcap Stock: A Guide for Investors Investor Publications
"Phishing" Fraud: How to Avoid Getting Fried by Phony Phishermen Investor Publications
2013 Inventory (PDF) FAIR Act
Annual Staff Report Relating to the Use of Data Collected from Private Fund Systemic Risk Reports (PDF) Special Studies
Fourth Report on the Implementation of SEC Organizational Reform Recommendations (PDF) Special Studies
Report on Administrative Proceedings for the Period October 1, 2012 through March 31, 2013 (PDF) Special Studies
Office of Minority and Women Inclusion Annual Report (PDF) Annual Reports
A Guide for Seniors: Protect Yourself Against Investment Fraud (PDF) Investor Publications
FY 2014 Congressional Justification and Performance Plan & FY 2012 Annual Performance Report Budget Reports
2013 Examination Priorities (PDF)
Summary of Performance and Financial Information, Fiscal Year 2012 (PDF) (PDF) Annual Reports
Select SEC and Market Data 2012 (PDF) Select SEC and Market Data
SEC FY 2012 Conference Spending (PDF) Conference Spending
Rule 144: Selling Restricted and Control Securities Investor Publications
Trade Execution: What Every Investor Should Know Investor Publications
SEC FY2012 Appendix C SCI Summary (PDF) Service Contract Inventory
2012 Report and Certification (PDF) Internal Supervisory Controls
SEC FY2012 Appendix B SCI Detail (PDF) Service Contract Inventory
Assigned Credit Ratings (PDF) Special Studies
FY 2012 Service Contract Inventory Analysis (PDF) Service Contract Inventory
SEC FY2011 Appendix C SCI Summary (PDF) Service Contract Inventory
SEC FY2011 Appendix B SCI Detail (PDF) Service Contract Inventory
FY 2011 Service Contract Inventory Analysis (PDF) Service Contract Inventory
Planned Analysis of FY 2011 Inventory (PDF) Service Contract Inventory
Planned Analysis of FY 2012 Inventory (PDF) Service Contract Inventory
Researching the Federal Securities Laws Through the SEC Website Investor Publications
Annual Report to Congress - June 26, 2011 to June 25, 2012 (PDF) Annual Reports
2012 Annual Report on the Dodd-Frank Whistleblower Program (PDF) Annual Reports
2012 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (PDF) Special Studies
Report on Administrative Proceedings for the Period April 1, 2012 through September 30, 2012 (PDF) Special Studies
Third Report on the Implementation of SEC Organizational Reform Recommendations (PDF) Special Studies
JOBS Act Section 504 Report on Authority to Enforce Exchange Act Rule 12g5-1 and Subsection (b)(3) (PDF) Special Studies
Guide to Insider Trading: Online Publications at the SE Investor Publications
Report on Credit Rating Standardization (PDF) Special Studies
SEC Staff Study Regarding Financial Literacy Among Investors Special Studies
Investment Advisers: What You Need to Know Before Choosing One Investor Publications
Report on the Municipal Securities Market (PDF) Special Studies
JOBS Act Section 106 Report to Congress on Decimalization (PDF) Special Studies
2012 Inventory (PDF) FAIR Act
Report on Administrative Proceedings for the Period October 1, 2011 through March 31, 2012 (PDF) Special Studies
Study on the Cross-Border Scope of the Private Right of Action Under Section 10(b) of the Securities Exchange Act of 1934 Special Studies
Office of Minority and Women Inclusion Annual Report (PDF) Annual Reports
Report on the Implementation of SEC Organizational Reform Recommendations (PDF) Special Studies
Annual Report to Congress - June 26, 2010 to June 25, 2011 (PDF) Annual Reports
Congressional Justification FY 2013 in Brief (PDF) Budget Reports
Joint Report on International Swap Regulation (PDF) Special Studies
Researchers and Librarians—Easy Access to Selected Securities and Investor Information at the SEC Investor Publications
Select SEC and Market Data 2011 (PDF) Select SEC and Market Data
2012 Agency Financial Report Annual Reports
2011 Report and Certification (PDF) Internal Supervisory Controls
2011 Annual Report on the Dodd-Frank Whistleblower Program (PDF) Annual Reports
Report on Administrative Proceedings for the Period April 1, 2011 through September 30, 2011 (PDF) Special Studies
Mutual-to-Stock” Conversions: Tips for Investor Investor Publications
2011 Summary Report of Commission Staff's Examinations of Each Nationally Recognized Statistical Rating Organization (PDF) Special Studies
Report on the Implementation of SEC Organizational Reform Recommendations (PDF) Special Studies
Staff Summary Report on Issues Identified in Examinations of Certain Structured Securities Products Sold to Retail Investors (PDF) Special Studies
Report on Review of Reliance on Credit Ratings (PDF) Special Studies
2011 Inventory (PDF) FAIR Act
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) Special Studies
Report on Administrative Proceedings for the Period October 1, 2010 through March 31, 2011 (PDF) Special Studies
Joint Study on the Feasibility of Mandating Algorithmic Descriptions for Derivatives (PDF) Special Studies
2010 Report (PDF) Buy American Act
U.S. Securities and Exchange Commission Organizational Study and Reform (PDF) Special Studies
About the SEC’s Office of Investor Education and Advocacy Investor Publications
Congressional Justification FY 2012 in Brief (PDF) Budget Reports
Internet Fraud: How to Avoid Internet Investment Scams Investor Publications
Study and Recommendations on Improved Investor Access to Registration Information About Investment Advisers and Broker-Dealers (PDF) Special Studies
Study on Investment Advisers and Broker-Dealers Special Studies
Staff Study on Enhancing Investment Adviser Examinations Special Studies
Select SEC and Market Data 2010 (PDF) Select SEC and Market Data
2011 Annual Report Annual Reports
Annual Report to Congress - June 26, 2009 to June 25, 2010 (PDF) Annual Reports
E-Government Act Implementation Updates: FY 2010 Update (PDF)
Annual Report on Whistleblower Program (PDF) Special Studies
Report on Administrative Proceedings for Period April 1, 2010 through September 30, 2010 (PDF) Special Studies
2010-2015 Strategic Plan (PDF) Strategic Plan
Findings Regarding the Market Events of May 6, 2010 (PDF) Special Studies
Analyzing Analyst Recommendations Investor Publications
The SEC Mutual Fund Cost Calculator: A Tool for Comparing Mutual Funds Investor Publications
Life Settlements Task Force: Staff Report to the United States Securities and Exchange Commission (PDF) Special Studies
2010 Inventory (PDF) FAIR Act
Report on Administrative Proceedings for Period October 1, 2009 through March 31, 2010 (PDF) Special Studies
2009 Report (PDF) Buy American Act
Congressional Justification FY 2011 in Brief (PDF) Budget Reports
2010 Annual Report Annual Reports
Five Questions to Ask Before You Invest Investor Publications
Beginners’ Guide to Investing Investor Publications
Fake Seals and Phony Numbers: How Fraudsters Try to Look Legit Investor Publications
SIPC Exposes Phony "Look-Alike" Web Site Investor Publications
Taking Stock: Getting Your Fiscal Act Together Investor Publications
Cold Calling: Unsolicited Calls from Brokers Investor Publications
Select SEC and Market Data 2009 (PDF) Select SEC and Market Data
E-Government Act Implementation Updates: FY 2009 Update (PDF)
Guide to Identifying and Avoiding Securities Fraud Investor Publications
Report on Administrative Proceedings for Period April 1, 2009 through September 30, 2009 (PDF) Special Studies
Compliance Guide to the Registration and Regulation of Brokers and Dealers Investor Publications
Executive Summary: Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme (PDF) Special Studies
Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme Special Studies
Annual Report to Congress - June 26, 2008 to June 25, 2009 (PDF) Annual Reports
Beginners' Guide to Asset Allocation, Diversification, and Rebalancing Investor Publications
2009 Inventory (PDF) FAIR Act
All About Auto-Trading Investor Publications
How To Avoid Fraud Investor Publications
Warning to All Investors About Bogus "Prime Bank" and Other Banking-Related Investment Schemes Investor Publications
Ultra-Short Bond Funds: Know Where You're Parking Your Money Investor Publications
Congressional Justification FY 2010 in Brief (PDF) Budget Reports
Report on Administrative Proceedings for Period October 1, 2008 through March 31, 2009 (PDF) Special Studies
Beginners’ Guide to Mutual Funds Investor Publications
Margin: Borrowing Money to Pay for Stocks Investor Publications
Transferring your Brokerage Account: Tips on Avoiding Delays Investor Publications
2008 Report (PDF) Buy American Act
Execution Quality Statistics: How to Find Information on Order Execution and Routing Practices Investor Publications
"Senior" Specialists and Advisors: What You Should Know About Professional Designations Investor Publications
Online Brokerage Accounts: What You Can Do to Safeguard Your Money and Your Personal Information Investor Publications
The Fleecing of Foreign Investors: Avoid Getting Burned by "Hot" U.S. Stocks Investor Publications
Bankruptcy: What Happens When Public Companies Go Bankrupt Investor Publications
2009 Annual Report Annual Reports
SEC's Congressionally Mandated Study on Mark-to-Market Accounting (PDF) Special Studies
High-Yield CDs: Protect Your Money by Checking the Fine Print Investor Publications
Select SEC and Market Data 2008 (PDF) Select SEC and Market Data
After-Hours Trading: Understanding the Risks Investor Publications
Report on Administrative Proceedings for Period April 1, 2008 through September 30, 2008 (PDF) Special Studies
2008 Inventory (PDF) FAIR Act
E-Government Act Implementation Updates: FY 2008 Update (PDF)
Promissory Notes: Promises, Problems (PDF) Investor Publications
Summary Report of Issues Identified in the Commission Staff's Examinations of Select Credit Rating Agencies (PDF) Special Studies
Getting Info About Companies Investor Publications
Evaluating Your Retirement Options: The 403(b) Plan Investor Publications
Annual Report to Congress - June 26, 2007 to June 25, 2008 (PDF) Annual Reports
Report on Administrative Proceedings For Period October 1, 2007 through March 31, 2008 (PDF) Special Studies
2007 Report (PDF) Buy American Act
Investment Choices and Methods Investor Publications
OMB Exhibit 300 Reports FY 2009 Budget Reports
Congressional Justification FY 2009 in Brief (PDF) Budget Reports
Mini-Tender Offers: Tips for Investors Investor Publications
2008 Annual Report — Performance and Accountability Report Annual Reports
2008 Citizens’ Report Annual Reports
Select SEC and Market Data 2007 (PDF) Select SEC and Market Data
Report on Administrative Proceedings for Period April 1, 2007 through September 30, 2007 (PDF) Special Studies
E-Government Act Implementation Updates: FY 2007 Update (PDF)
2007 Inventory (PDF) FAIR Act
Avoiding Internet Investment Scams: Tips for Investors Investor Publications
"Pro Forma" Financial Information: Tips for Investors Investor Publications
Oil and Gas Scams: Common Red Flags and Steps You Can Take to Protect Yoursel Investor Publications
Periodic Payment Plans Investor Publications
Privacy Choices for Your Personal Financial Information Investor Publications
Ask Questions: Questions You Should Ask About Your Investments and What To Do If You Run Into Problems Investor Publications
Get the Facts on Saving and Investing Investor Publications
Invest Wisely: Advice From Your Securities Industry Regulators Investor Publications
Pregunte (folleto en Espanol) ("Ask Questions" brochure in Spanish) Investor Publications
Tips for Online Investing: What You Need to Know About Trading In Fast-Moving Markets Investor Publications
Form for Taking Notes Investor Publications
Mutual Fund Investing: Look at More Than a Fund's Past Performance Investor Publications
Report on Administrative Proceedings for Period October 1, 2006 through March 31, 2007 (PDF) Special Studies
Report on Refunds, Sales Practices, and Revenues from Periodic Payment Plans (PDF) Special Studies
2006 Report (PDF) Buy American Act
Report Concerning Examinations of Options Order Routing and Execution (PDF) Special Studies
Select SEC and Market Data 2006 (PDF) Select SEC and Market Data
2008 Performance Budget (PDF) Budget Reports
Beginners' Guide to Financial Statement Investor Publications
Congressional Justification FY 2008 (PDF) Budget Reports
Report on Administrative Proceedings for Period April 1, 2005 through September 30, 2005 (PDF) Special Studies
Report on Administrative Proceedings for Period April 1, 2006 through September 30, 2006 (PDF) Special Studies
Report on Administrative Proceedings for Period October 1, 2005 through March 31, 2006 (PDF) Special Studies
2007 Annual Report — Performance and Accountability Report Annual Reports
E-Government Act Implementation Updates: FY 2006 Update (PDF)
OMB Exhibit 300 Reports FY 2008 Budget Reports
2006 Inventory (PDF) FAIR Act
2007 Performance Budget (PDF) Budget Reports
2005 Report (PDF) Buy American Act
Select SEC and Market Data 2005 (PDF) Select SEC and Market Data
Auto-Surfing: What You Need to Kno Investor Publications
Congressional Request FY 2007 (PDF) Budget Reports
"Wrong Numbers" and Stock Tips on Your Answering Machine Investor Publications
2006 Annual Report — Performance and Accountability Report Annual Reports
Worthless Stock: How to Avoid Doubling Your Losses Investor Publications
Select SEC and Market Data 2004 (PDF) Select SEC and Market Data
2005 Inventory (PDF) FAIR Act
Selecting and Monitoring Pension Consultants: Tips for Plan Fiduciaries Investor Publications
Day Trading: Your Dollars at Risk Investor Publications
"High Yields" and Hot Air Investor Publications
2006 Performance Budget (PDF) Budget Reports
Congressional Request FY 2006 (PDF) Budget Reports
Mutual Fund Proxy Voting Records and Policies Investor Publications
Pump&Dump.con: Tips for Avoiding Stock Scams on the Internet Investor Publications
Risky Business: "Pre-IPO [Initial Public Offering]" Investing Investor Publications
2005 Annual Report — Performance and Accountability Report Annual Reports
2004 Inventory (PDF) FAIR Act
Variable Annuities and Variable Life Products: Questions to Ask Investor Publications
About Settling Trades In Three Days: Introducing T+3 Investor Publications
2004 Annual Report — Performance and Accountability Report Annual Reports
Implications of the Growth of Hedge Funds (PDF) Special Studies
2003 Inventory (PDF) FAIR Act
2003 Annual Report Annual Reports
2002 Inventory (PDF) FAIR Act
All About Auditors Investor Publications
2002 Annual Report Annual Reports
2001 Inventory FAIR Act
Stock Market Fraud "Survivor" Checklist Investor Publications
2001 Annual Report Annual Reports
Report on Mutual Fund Fees and Expenses Special Studies
2000 Annual Report Annual Reports
A Plain English Handbook: How to Create Clear SEC Disclosure Documents Investor Publications
1999 Annual Report Annual Reports
1998 Annual Report (PDF) Annual Reports
1997 Annual Report (PDF) Annual Reports
1996 Annual Report (PDF) Annual Reports
1995 Annual Report (PDF) Annual Reports
1994 Annual Report (PDF) Annual Reports
1993 Annual Report (PDF) Annual Reports
1992 Annual Report (PDF) Annual Reports
1991 Annual Report (PDF) Annual Reports
1990 Annual Report (PDF) Annual Reports
1989 Annual Report (PDF) Annual Reports
1988 Annual Report (PDF) Annual Reports
1987 Annual Report (PDF) Annual Reports
1986 Annual Report (PDF) Annual Reports
1985 Annual Report (PDF) Annual Reports
1984 Annual Report (PDF) Annual Reports
1983 Annual Report (PDF) Annual Reports
1982 Annual Report (PDF) Annual Reports
1981 Annual Report (PDF) Annual Reports
1980 Annual Report (PDF) Annual Reports
1979 Annual Report (PDF) Annual Reports
1978 Annual Report (PDF) Annual Reports
1977 Annual Report (PDF) Annual Reports
1976 Annual Report (PDF) Annual Reports
1975 Annual Report (PDF) Annual Reports
1974 Annual Report (PDF) Annual Reports
1973 Annual Report (PDF) Annual Reports
1972 Annual Report (PDF) Annual Reports
1971 Annual Report (PDF) Annual Reports
1970 Annual Report (PDF) Annual Reports
1969 Annual Report (PDF) Annual Reports
1968 Annual Report (PDF) Annual Reports
1967 Annual Report (PDF) Annual Reports
1966 Annual Report (PDF) Annual Reports
1965 Annual Report (PDF) Annual Reports
1964 Annual Report (PDF) Annual Reports
1963 Annual Report (PDF) Annual Reports
1962 Annual Report (PDF) Annual Reports
1961 Annual Report (PDF) Annual Reports
1960 Annual Report (PDF) Annual Reports
1959 Annual Report (PDF) Annual Reports
1958 Annual Report (PDF) Annual Reports
1957 Annual Report (PDF) Annual Reports
1956 Annual Report (PDF) Annual Reports
1955 Annual Report (PDF) Annual Reports
1954 Annual Report (PDF) Annual Reports
1953 Annual Report (PDF) Annual Reports
1952 Annual Report (PDF) Annual Reports
1951 Annual Report (PDF) Annual Reports
1950 Annual Report (PDF) Annual Reports
1949 Annual Report (PDF) Annual Reports
1948 Annual Report (PDF) Annual Reports
1947 Annual Report (PDF) Annual Reports
1946 Annual Report (PDF) Annual Reports
1945 Annual Report (PDF) Annual Reports
1944 Annual Report (PDF) Annual Reports
1943 Annual Report (PDF) Annual Reports
1942 Annual Report (PDF) Annual Reports
1941 Annual Report (PDF) Annual Reports
1940 Annual Report (PDF) Annual Reports
1939 Annual Report (PDF) Annual Reports
1938 Annual Report (PDF) Annual Reports
1937 Annual Report (PDF) Annual Reports
1936 Annual Report (PDF) Annual Reports
1935 Annual Report (PDF) Annual Reports
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