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
Report on Administrative Proceedings For the Period October 1, 2023, through March 31, 2024 (PDF) Special Studies
Report on Administrative Proceedings for the Period April 1, 2023 through September 30, 2023 (PDF) Special Studies
Report on Administrative Proceedings For the Period October 1, 2022 through March 31, 2023 (PDF) Special Studies
Report on Administrative Proceedings for the Period April 1, 2022 through September 30, 2022 (PDF) Special Studies
Report on Administrative Proceedings for the Period October 1, 2021 through March 31, 2022 (PDF) Special Studies
Report on Administrative Proceedings for the Period April 1, 2021 through September 30, 2021 (PDF) Special Studies
Report on Administrative Proceedings for the Period October 1, 2020 through March 31, 2021 (PDF) Special Studies
Report on Administrative Proceedings for the Period April 1, 2020 through September 30, 2020 (PDF) Special Studies
Report on Administrative Proceedings For the Period October 1, 2019 through March 31, 2020 (PDF) Special Studies
Report on Administrative Proceedings For the Period April 1, 2019 through September 30, 2019 (PDF) Special Studies
Report on Administrative Proceedings For the Period October 1, 2018 through March 31, 2019 (PDF) Special Studies
Report on Administrative Proceedings For the Period April 1, 2018 through September 30, 2018 (PDF) Special Studies
Report on Administrative Proceedings for the Period October 1, 2017, through March 31, 2018 (PDF) Special Studies
Report on Administrative Proceedings for the Period April 1, 2017 through September 30, 2017 (PDF) Special Studies
Report on Administrative Proceedings for the Period October 1, 2016 through March 31, 2017 (PDF) Special Studies
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