Oct. 31, 2024
Report on Administrative Proceedings for the Period April 1, 2024, through September 30, 2024 (PDF)
Special Studies
Oct. 21, 2024
2025 Examination Priorities (PDF)
Oct. 10, 2024
FY23 SEC Affirmative Action Plan for Persons with Disabilities (PDF)
Annual Reports
Oct. 10, 2024
FY23 EEO Annual Program Status Report (PDF)
Annual Reports
Sept. 20, 2024
Report on the 43rd Annual Small Business Forum (PDF)
Annual Reports
June 27, 2024
FY25 OIAD Report On Objectives (PDF)
Annual Reports
June 20, 2024
Report on Security-Based Swaps (Issued on June 20, 2024) (PDF)
June 18, 2024
Semi-Annual Report to Congress Regarding Public and Internal Use of Machine-Readable Data for Corporate Disclosures (June 2024) (PDF)
Annual Reports
June 14, 2024
December 2023 Registered Fund Statistics Report (PDF)
Select SEC and Market Data
May 30, 2024
FY 2021 Service Contract Inventory Planned Analysis for FY 2022 (PDF)
Service Contract Inventory
May 30, 2024
FY 2021 SEC Service Contract Inventory (PDF)
Service Contract Inventory
May 15, 2024
2023 Investment Adviser Statistics (PDF)
Select SEC and Market Data
May 14, 2024
Semiannual Management Report (May 2024) (PDF)
May 1, 2024
Women and Minority-Owned Businesses in Regulation Crowdfunding Report (PDF)
April 30, 2024
Report on Administrative Proceedings For the Period October 1, 2023, through March 31, 2024 (PDF)
Special Studies
April 26, 2024
2023 Registered Fund Statistics Report (PDF)
Select SEC and Market Data
April 10, 2024
FY23 Annual No FEAR Act Report to Congress (PDF)
Annual Reports
March 22, 2024
2022 OMWI Diversity Assessment Report (PDF)
Annual Reports
March 22, 2024
SEC OMWI FY 2023 Annual Report to Congress (PDF)
Annual Reports
March 11, 2024
Fiscal Year 2025 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2023 Annual Performance Report
Budget Reports
March 6, 2024
2023 Annual Staff Report Relating to the Use of Form PF Data (PDF)
Special Studies
Feb. 27, 2024
Federal Employee Viewpoint Survey 2023
Federal Employee Viewpoint Survey
Feb. 16, 2024
Staff Report on Nationally Recognized Statistical Rating Organizations (February 2024) (PDF)
Jan. 9, 2024
SEC FY 2023 Conference Spending (PDF)
Conference Spending
Dec. 18, 2023
Semi-Annual Report to Congress Regarding Public and Internal Use of Machine-Readable Data for Corporate Disclosures (December 2023) (PDF)
Annual Reports
Dec. 18, 2023
FY22 SEC Affirmative Action Plan for Persons with Disabilities (PDF)
Annual Reports
Dec. 18, 2023
FY22 EEO Annual Program Status Report (PDF)
Annual Reports
Dec. 15, 2023
2023 Report on the Review of the Definition of “Accredited Investor” (PDF)
Special Studies
Dec. 14, 2023
2023 OASB Annual Report (PDF)
Annual Reports
Dec. 13, 2023
2023 Report and Certification of Internal Supervisory Controls (PDF)
Internal Supervisory Controls
Dec. 6, 2023
Federal Employee Viewpoint Survey 2022 (XLSX)
Federal Employee Viewpoint Survey
Dec. 5, 2023
2023 OIAD Annual Report (PDF)
Annual Reports
Nov. 17, 2023
Report on Security-Based Swaps (Issued on November 17, 2023) (PDF)
Nov. 16, 2023
2023 Annual Report to Congress on the Dodd-Frank Whistleblower Program (PDF)
Annual Reports
Nov. 15, 2023
Semiannual Management Report (November 2023) (PDF)
Nov. 15, 2023
2023 Agency Financial Report
Annual Reports
Oct. 31, 2023
Report on Administrative Proceedings for the Period April 1, 2023 through September 30, 2023 (PDF)
Special Studies
Oct. 16, 2023
2024 Examination Priorities (PDF)
Sept. 29, 2023
Investor Testing Report on Registered Index-Linked Annuities (PDF)
Investor Publications
Sept. 26, 2023
2023 Small Business Forum Report (PDF)
Annual Reports
Sept. 18, 2023
FY 2020 Service Contract Inventory Planned Analysis for FY 2021 (PDF)
Service Contract Inventory
Sept. 18, 2023
FY 2020 SEC Service Contract Inventory (PDF)
Service Contract Inventory
Sept. 14, 2023
Diversity, Equity, Inclusion, and Accessibility (DEIA) Strategic Plan
Strategic Plan
June 30, 2023
Semi-Annual Report to Congress Regarding Public and Internal Use of Machine-Readable Data for Corporate Disclosures (June 2023) (PDF)
Annual Reports
June 29, 2023
FY24 OIAD Report On Objectives (PDF)
Annual Reports
May 23, 2023
Semiannual Management Report (May 2023) (PDF)
April 28, 2023
Report on Administrative Proceedings For the Period October 1, 2022 through March 31, 2023 (PDF)
Special Studies
April 14, 2023
FY22 Annual No FEAR Act Report to Congress (PDF)
Annual Reports
April 4, 2023
SEC OMWI FY 2022 Annual Report to Congress (PDF)
Annual Reports
March 20, 2023
Report on Security-Based Swaps (Issued on March 20, 2023) (PDF)
March 13, 2023
Fiscal Year 2024 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2022 Annual Performance Report
Budget Reports
Feb. 7, 2023
2023 Examination Priorities (PDF)
Feb. 2, 2023
Staff Report on Nationally Recognized Statistical Rating Organizations (February 2023) (PDF)
Jan. 26, 2023
OCDO Data Strategy FY 2022-2026 (PDF)
Strategic Plan
Dec. 29, 2022
2022 Report and Certification of Internal Supervisory Controls (PDF)
Internal Supervisory Controls
Dec. 20, 2022
FY21 EEO Annual redacted report 508 (PDF)
Annual Reports
Dec. 20, 2022
FY21 SEC Affirmative Action Plan for Persons with Disabilities (PDF)
Dec. 15, 2022
2022 OASB Annual Report (PDF)
Annual Reports
Dec. 15, 2022
FY22 OIAD Report On Activities (PDF)
Annual Reports
Dec. 9, 2022
2022 Annual Staff Report Relating to the Use of Form PF Data (PDF)
Special Studies
Dec. 9, 2022
2022 Annual Report on SEC Website Modernization Pursuant to Section 3(d) of the 21st Century Integrated Digital Experience Act (PDF)
Annual Reports
Dec. 7, 2022
SEC FY 2022 Conference Spending (PDF)
Conference Spending
Nov. 29, 2022
2022-2026 Strategic Plan (PDF)
Strategic Plan
Nov. 22, 2022
Semiannual Management Report (November 2022) (PDF)
Nov. 15, 2022
2022 Annual Report to Congress on the Dodd-Frank Whistleblower Program (PDF)
Annual Reports
Nov. 15, 2022
2022 Agency Financial Report
Annual Reports
Nov. 3, 2022
Federal Employee Viewpoint Survey 2021 (XLSX)
Federal Employee Viewpoint Survey
Oct. 31, 2022
Report on Administrative Proceedings for the Period April 1, 2022 through September 30, 2022 (PDF)
Special Studies
July 27, 2022
2022 Small Business Forum Report (PDF)
Annual Reports
July 15, 2022
Report on Security-Based Swaps (Based on Trade State Data for March 31, 2022) (PDF)
June 30, 2022
Office of the Investor Advocate Report on Objectives for Fiscal Year 2023 (PDF)
Annual Reports
June 22, 2022
FAIR Inventory 2022 (PDF)
FAIR Act
June 1, 2022
FY21 Annual No FEAR Act Report to Congress (PDF)
Annual Reports
May 27, 2022
Semiannual Management Report (May 2022) (PDF)
May 2, 2022
2020 OMWI Diversity Assessment Report (PDF)
April 29, 2022
Report on Administrative Proceedings for the Period October 1, 2021 through March 31, 2022 (PDF)
Special Studies
April 4, 2022
SEC OMWI FY 2021 Annual Report to Congress (PDF)
Annual Reports
March 30, 2022
2022 Examination Priorities (PDF)
March 28, 2022
Fiscal Year 2023 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2021 Annual Performance Report (PDF)
Budget Reports
Feb. 22, 2022
Staff Report on the Issues Affecting the Provision of and Reliance Upon Investment Research Into Small Issuers (PDF)
Feb. 22, 2022
Study on Threshold Limits Applicable to Diversified Companies (PDF)
Special Studies
Feb. 7, 2022
Semiannual Management Report (November 2021) (PDF)
Jan. 31, 2022
Staff Report on Nationally Recognized Statistical Rating Organizations (January 2022) (PDF)
Dec. 29, 2021
2021 Report and Certification of Internal Supervisory Controls (PDF)
Internal Supervisory Controls
Dec. 16, 2021
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
Dec. 16, 2021
FY21 OIAD Report On Activities (PDF)
Annual Reports
Dec. 15, 2021
Response to Congress: Negative Net Equity Issuance (December 23, 2020) (PDF)
Dec. 13, 2021
SEC FY 2021 Conference Spending (PDF)
Conference Spending
Dec. 9, 2021
2021 OASB Annual Report (PDF)
Annual Reports
Dec. 3, 2021
Annual Staff Report Relating to the Use of Form PF Data (PDF)
Special Studies
Nov. 18, 2021
FY21 Enforcement Results (PDF)
Annual Reports
Nov. 16, 2021
2021 Annual Report to Congress on the Dodd-Frank Whistleblower Program (PDF)
Annual Reports
Nov. 15, 2021
2021 Agency Financial Report
Annual Reports
Nov. 9, 2021
Rural Entrepreneurship and the Challenges Accessing Financial Capital: An Overview of Funding in Rural America (PDF)
Nov. 8, 2021
Recent Disruptions and Potential Reforms in the U.S. Treasury Market: A Staff Progress Report (PDF)
Special Studies
Oct. 29, 2021
Report on Administrative Proceedings for the Period April 1, 2021 through September 30, 2021 (PDF)
Special Studies
Oct. 19, 2021
FY 2019 Service Contract Inventory with Planned Analysis of FY 2020 Inventory (PDF)
Service Contract Inventory
Oct. 19, 2021
FY 2019 Service Contract Inventory Analysis (PDF)
Service Contract Inventory
Oct. 18, 2021
Staff Report on Equity and Options Market Structure Conditions in Early 2021 (PDF)
Sept. 24, 2021
2021 Small Business Forum Report (PDF)
Annual Reports
Sept. 20, 2021
Federal Employee Viewpoint Survey 2020 (XLSX)
Federal Employee Viewpoint Survey
July 22, 2021
FY 2020 Report on Equal Employment Opportunity Programs (PDF)
July 22, 2021
FY 2020 SEC Affirmative Action Plan for Persons with Disabilities (PDF)
July 9, 2021
OASB Strategic Plan 2021-2025 (PDF)
Strategic Plan
July 1, 2021
FY 2018 Service Contract Inventory with Planned Analysis of FY 2019 Inventory (PDF)
Service Contract Inventory
July 1, 2021
FY 2018 Service Contract Inventory Analysis (PDF)
Service Contract Inventory
June 28, 2021
Office of the Investor Advocate Report on Objectives for Fiscal Year 2022 (PDF)
Annual Reports
June 16, 2021
FAIR Inventory 2021 (PDF)
FAIR Act
June 8, 2021
Semiannual Management Report (May 2021) (PDF)
May 28, 2021
Fiscal Year 2022 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2020 Annual Performance Report
Budget Reports
May 13, 2021
FY20 Annual No FEAR Act Report to Congress (PDF)
Annual Reports
May 3, 2021
SEC OMWI FY 2020 Annual Report to Congress (PDF)
Annual Reports
April 30, 2021
Report on Administrative Proceedings for the Period October 1, 2020 through March 31, 2021 (PDF)
Special Studies
March 3, 2021
2021 examination priorities (PDF)
Feb. 9, 2021
Annual Equal Employment Opportunity Program Status Report 2019 (PDF) Equal Employment Opportunity (PDF)
Annual Reports
Feb. 9, 2021
FY 2019 SEC Affirmative Action Plan for Persons with Disabilities (PDF)
Dec. 29, 2020
2020 Report and Certification of Internal Supervisory Controls (PDF)
Internal Supervisory Controls
Dec. 29, 2020
Office of the Investor Advocate Report on Activities for FY 2020 (PDF)
Annual Reports
Dec. 22, 2020
Annual Report on SEC Website Modernization Pursuant to Section 3(d) of the 21st Century Integrated Digital Experience Act. (PDF)
Dec. 18, 2020
2020 OASB Annual Report (PDF)
Annual Reports
Dec. 18, 2020
Annual Report to Congress on Nationally Recognized Statistical Rating Organizations - June 26, 2019 - June 25, 2020 (PDF)
Annual Reports
Dec. 18, 2020
2020 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (PDF)
Annual Reports
Dec. 18, 2020
2020 Small Business Forum Report (PDF)
Annual Reports
Dec. 9, 2020
Semiannual Management Report (November 2020) (PDF)
Nov. 16, 2020
2020 Annual Report to Congress on the Dodd-Frank Whistleblower Program (PDF)
Annual Reports
Nov. 16, 2020
2020 Agency Financial Report
Annual Reports
Nov. 16, 2020
SEC FY 2020 Conference Spending (PDF)
Conference Spending
Nov. 3, 2020
Annual Staff Report Relating to the Use of Form PF Data (PDF)
Special Studies
Nov. 2, 2020
Division of Enforcement 2020 Annual Report (PDF)
Annual Reports
Oct. 30, 2020
Report on Administrative Proceedings for the Period April 1, 2020 through September 30, 2020 (PDF)
Special Studies
Oct. 29, 2020
FY 2016 Service Contract Inventory Analysis (PDF)
Service Contract Inventory
Oct. 29, 2020
FY 2016 Service Contract Inventory with Planned Analysis of FY 2017 Inventory (PDF)
Service Contract Inventory
Oct. 29, 2020
FY 2017 Service Contract Inventory Analysis (PDF)
Service Contract Inventory
Oct. 29, 2020
Planned Analysis of FY 2018 Inventory (PDF)
Service Contract Inventory
Oct. 5, 2020
U.S. Credit Markets Interconnectedness and the Effects of the COVID-19 Economic Shock
Oct. 1, 2020
Staff Report on the Regulation of Clearing Agencies (PDF)
Sept. 1, 2020
Questions You Should Ask About Your Investments brochure (PDF)
Investor Publications
Aug. 26, 2020
FY 2018 SEC Affirmative Action Plan for Persons with Disabilities (PDF)
Aug. 26, 2020
Report to Congress on Regulation A / Regulation D Performance (PDF)
Aug. 19, 2020
Staff Report on Algorithmic Trading in U.S. Capital Markets (PDF)
Special Studies
July 30, 2020
Annual Equal Employment Opportunity Program Status Report 2018 (PDF) Equal Employment Opportunity (PDF)
July 23, 2020
FAIR Inventory 2020 (PDF)
FAIR Act
July 6, 2020
Annual Equal Employment Opportunity Program Status Report 2017 (PDF) Equal Employment Opportunity (PDF)
June 29, 2020
Office of the Investor Advocate Report on Objectives for Fiscal Year 2021 (PDF)
Annual Reports
June 1, 2020
Semiannual Management Report (May 2020) (PDF)
May 1, 2020
SEC OMWI FY 2019 Annual Report to Congress (PDF)
Annual Reports
April 30, 2020
Report on Administrative Proceedings For the Period October 1, 2019 through March 31, 2020 (PDF)
Special Studies
March 4, 2020
Regulation A Lookback Study and Offering Limit Review Analysis, 2020 (PDF)
Feb. 10, 2020
Fiscal Year 2021 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2019 Annual Performance Report
Budget Reports
Jan. 31, 2020
SEC FY 2019 Conference Spending (PDF)
Conference Spending
Jan. 28, 2020
Federal Employee Viewpoint Survey 2019 (XLSX)
Federal Employee Viewpoint Survey
Jan. 24, 2020
2019 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (PDF)
Annual Reports
Jan. 24, 2020
Annual Report to Congress on Nationally Recognized Statistical Rating Organizations - June 26, 2018 - June 25, 2019 (PDF)
Annual Reports
Jan. 22, 2020
Annual Report on Existing SEC Websites and Digital Services Pursuant to Section 3 of the 21st Century Integrated Digital Experience Act (PDF)
Jan. 7, 2020
2020 Examination Priorities (PDF)
Jan. 7, 2020
Semiannual Management Report (November 2019) (PDF)
Dec. 30, 2019
Annual Staff Report Relating to the Use of Form PF Data (PDF)
Special Studies
Dec. 29, 2019
2019 Report and Certification of Internal Supervisory Controls (PDF)
Internal Supervisory Controls
Dec. 20, 2019
2019 Examination Priorities (PDF)
Dec. 19, 2019
Office of the Investor Advocate Report on Activities for FY 2019 (PDF)
Annual Reports
Dec. 19, 2019
2019 Small Business Forum Report (PDF)
Annual Reports
Nov. 15, 2019
2019 Annual Report to Congress on the Dodd-Frank Whistleblower Program (PDF)
Annual Reports
Nov. 15, 2019
Fiscal Year 2019 Agency Financial Report
Annual Reports
Nov. 6, 2019
Division of Enforcement 2019 Annual Report (PDF)
Annual Reports
Oct. 31, 2019
Report on Administrative Proceedings For the Period April 1, 2019 through September 30, 2019 (PDF)
Special Studies
June 27, 2019
Office of the Investor Advocate Report on Objectives for Fiscal Year 2020 (PDF)
Annual Reports
June 21, 2019
FAIR Inventory 2019 (PDF)
FAIR Act
June 21, 2019
FAIR Inventory 2018 (PDF)
FAIR Act
June 17, 2019
Regulation Crowdfunding Report 2019 (PDF)
June 10, 2019
FY 2017 SEC Affirmative Action Plan for Persons with Disabilities (PDF)
June 6, 2019
SEC OMWI FY 2018 Annual Report to Congress (PDF)
Annual Reports
April 30, 2019
Report on Administrative Proceedings For the Period October 1, 2018 through March 31, 2019 (PDF)
Special Studies
March 18, 2019
Fiscal Year 2020 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2018 Annual Performance Report
Budget Reports
Feb. 8, 2019
Federal Employee Viewpoint Survey 2018 (XLSX)
Federal Employee Viewpoint Survey
Jan. 30, 2019
SEC FY 2018 Conference Spending (PDF)
Conference Spending
Dec. 29, 2018
2018 Report and Certification of Internal Supervisory Controls (PDF)
Internal Supervisory Controls
Dec. 20, 2018
2018 Examination Priorities (PDF)
Dec. 20, 2018
Office of the Investor Advocate FY 2018 Report on Activities (PDF)
Annual Reports
Dec. 18, 2018
Annual Report to Congress on Nationally Recognized Statistical Rating Organization - June 26, 2017 - June 25, 2018 (PDF)
Annual Reports
Dec. 18, 2018
2018 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (PDF)
Special Studies
Dec. 14, 2018
Annual Staff Report Relating to the Use of Form PF Data (PDF)
Special Studies
Nov. 15, 2018
Fiscal Year 2018 Agency Financial Report
Annual Reports
Nov. 14, 2018
2018 Annual Report to Congress on the Dodd-Frank Whistleblower Program (PDF)
Annual Reports
Nov. 2, 2018
Division of Enforcement 2018 Annual Report (PDF)
Annual Reports
Oct. 31, 2018
Report on Administrative Proceedings For the Period April 1, 2018 through September 30, 2018 (PDF)
Special Studies
Oct. 11, 2018
2018-2022 Strategic Plan (PDF)
Strategic Plan
Sept. 4, 2018
Select SEC and Market Data 2017 (PDF)
Select SEC and Market Data
June 29, 2018
Office of the Investor Advocate Report on Objectives for Fiscal Year 2019 (PDF)
Annual Reports
June 19, 2018
Addendum to Division of Enforcement 2017 Annual Report (Select SEC and Market Data Fiscal 2017 – Enforcement Information Only) (PDF)
Select SEC and Market Data
June 12, 2018
2017 Report and Certification of Internal Supervisory Controls (PDF)
Internal Supervisory Controls
June 7, 2018
Semiannual Management Report (May 2018) (PDF)
April 30, 2018
Report on Administrative Proceedings for the Period October 1, 2017, through March 31, 2018 (PDF)
Special Studies
March 30, 2018
SEC OMWI FY 2017 Annual Report to Congress (PDF)
Annual Reports
Feb. 12, 2018
Fiscal Year 2019 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2017 Annual Performance Report
Budget Reports
Dec. 21, 2017
SEC FY 2017 Conference Spending (PDF)
Conference Spending
Dec. 20, 2017
Office of the Investor Advocate FY 2017 Report on Activities (PDF)
Annual Reports
Dec. 4, 2017
Semiannual Management Report (November 2017) (PDF)
Nov. 15, 2017
2017 Annual Report to Congress on the Dodd-Frank Whistleblower Program (PDF)
Annual Reports
Nov. 15, 2017
Division of Enforcement 2017 Annual Report (PDF)
Nov. 15, 2017
Addendum to Division of Enforcement 2017 Annual Report (Select SEC and Market Data Fiscal 2017 – Enforcement Information Only) (addendum posted June 19, 2018) (PDF)
Nov. 14, 2017
Fiscal Year 2017 Agency Financial Report
Annual Reports
Nov. 1, 2017
Federal Employee Viewpoint Survey 2017 (XLSX)
Federal Employee Viewpoint Survey
Oct. 31, 2017
Report on Administrative Proceedings for the Period April 1, 2017 through September 30, 2017 (PDF)
Special Studies
Sept. 27, 2017
Annual Equal Employment Opportunity Program Status Report 2016 (PDF) Equal Employment Opportunity (PDF)
Sept. 22, 2017
FY 2015 Service Contract Inventory Analysis (PDF)
Service Contract Inventory
Sept. 22, 2017
Planned Analysis of FY 2016 Inventory (PDF)
Service Contract Inventory
Sept. 11, 2017
FAIR Inventory 2017 (PDF)
FAIR Act
Aug. 8, 2017
Access to Capital and Market Liquidity (PDF)
Special Studies
June 29, 2017
Office of the Investor Advocate Report on Objectives for Fiscal Year 2018 (PDF)
Annual Reports
June 5, 2017
2016 Report and Certification (PDF)
Internal Supervisory Controls
May 23, 2017
Fiscal Year 2018 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2016 Annual Performance Report
Budget Reports
May 18, 2017
Semiannual Management Report (May 2017) (PDF)
April 28, 2017
Report on Administrative Proceedings for the Period October 1, 2016 through March 31, 2017 (PDF)
Special Studies
March 30, 2017
SEC OMWI FY 2016 Annual Report to Congress (PDF)
Annual Reports
Jan. 19, 2017
Summary of Performance and Financial Information, Fiscal Year 2016 (PDF)
Annual Reports
Jan. 18, 2017
Select SEC and Market Data 2016 (PDF)
Select SEC and Market Data
Jan. 12, 2017
2017 Examination Priorities (PDF)
Jan. 5, 2017
SEC FY 2016 Conference Spending (PDF)
Conference Spending
Dec. 21, 2016
Annual Report to Congress on Nationally Recognized Statistical Rating Organizations - June 26, 2015 – June 25, 2016 (PDF)
Annual Reports
Dec. 21, 2016
2016 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (PDF)
Special Studies
Dec. 21, 2016
Office of the Investor Advocate FY 2016 Report on Activities (PDF)
Annual Reports
Dec. 1, 2016
Semiannual Management Report (November 2016) (PDF)
Nov. 23, 2016
Report on Modernization and Simplification of Regulation S-K (PDF)
Nov. 15, 2016
2016 Annual Report to Congress on the Dodd-Frank Whistleblower Program (PDF)
Annual Reports
Nov. 15, 2016
Fiscal Year 2016 Agency Financial Report
Annual Reports
Oct. 28, 2016
Report on Administrative Proceedings for the Period April 1, 2016 through September 30, 2016 (PDF)
Special Studies
Oct. 14, 2016
Federal Employee Viewpoint Survey 2016 (XLSX)
Federal Employee Viewpoint Survey
Sept. 8, 2016
FAIR Inventory 2016 (PDF)
FAIR Act
Sept. 8, 2016
FAIR Act 2015 Inventory (PDF)
FAIR Act
Aug. 30, 2016
Commission Releases
June 30, 2016
Office of the Investor Advocate Report on Objectives for FY 2017 (PDF)
Annual Reports
May 25, 2016
Semiannual Management Report (May 2016) (PDF)
April 27, 2016
Report on Administrative Proceedings For the Period October 1, 2015 through March 31, 2016 (PDF)
Special Studies
April 22, 2016
SEC FY2015 Appendix B and C SCI Details (XLSX)
Service Contract Inventory
April 22, 2016
2014-2018 Strategic Plan (PDF)
Strategic Plan
April 20, 2016
Annual Equal Employment Opportunity Program Status Report 2015 (PDF)
March 31, 2016
SEC OMWI FY 2015 Annual Report to Congress (PDF)
Annual Reports
Feb. 11, 2016
Summary of Performance and Financial Information, Fiscal Year 2015 (PDF)
Annual Reports
Feb. 9, 2016
FY 2017 Congressional Justification & FY 2015 Annual Performance Report and FY 2017 Annual Performance Plan
Budget Reports
Feb. 5, 2016
Select SEC and Market Data 2015 (PDF)
Select SEC and Market Data
Jan. 12, 2016
SEC FY2015 Supplement SCI (XLSX)
Service Contract Inventory
Jan. 12, 2016
Planned Analysis of FY 2015 Inventory (PDF)
Service Contract Inventory
Jan. 11, 2016
2016 Examination Priorities (PDF)
Jan. 6, 2016
SEC FY 2015 Conference Spending (PDF)
Conference Spending
Dec. 28, 2015
2015 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (PDF)
Special Studies
Dec. 28, 2015
Annual Report to Congress on Nationally Recognized Statistical Rating Organizations - June 26, 2014 – June 25, 2015 (PDF)
Annual Reports
Dec. 23, 2015
2015 Report and Certification (PDF)
Internal Supervisory Controls
Dec. 23, 2015
Office of the Investor Advocate FY 2015 Report on Activities (PDF)
Annual Reports
Dec. 18, 2015
Report on the Review of the Definition of “Accredited Investor” (PDF)
Special Studies
Dec. 7, 2015
Semiannual Management Report (November 2015) (PDF)
Nov. 16, 2015
Fiscal Year 2015 Agency Financial Report
Annual Reports
Nov. 16, 2015
2015 Annual Report on the Dodd-Frank Whistleblower Program (PDF)
Annual Reports
Nov. 3, 2015
SEC FY 2014 Conference Spending (PDF)
Conference Spending
Oct. 29, 2015
Report on Administrative Proceedings for the Period April 1, 2015 through September 30, 2015 (PDF)
Special Studies
July 13, 2015
Joint Staff Report: The U.S. Treasury Market on October 15, 2014 (PDF)
Special Studies
June 30, 2015
Office of the Investor Advocate Report on Objectives for FY 2016 (PDF)
Annual Reports
May 27, 2015
Semiannual Management Report (May 2015) (PDF)
April 30, 2015
Report on Administrative Proceedings For the Period October 1, 2014 through March 31, 2015 (PDF)
Special Studies
April 15, 2015
OCIE-FINRA Report on National Senior Investor Initiative (PDF)
April 10, 2015
Annual Equal Employment Opportunity Program Status Report 2014 (PDF)
April 6, 2015
SEC OMWI FY 2014 Annual Report to Congress (PDF)
Annual Reports
Feb. 12, 2015
Summary of Performance and Financial Information, Fiscal Year 2014 (PDF)
Annual Reports
Feb. 6, 2015
Select SEC and Market Data 2014 (PDF)
Select SEC and Market Data
Feb. 2, 2015
FY 2016 Congressional Justification & FY 2014 Annual Performance Report and FY 2016 Annual Performance Plan
Budget Reports
Jan. 15, 2015
SEC FY2013 Appendix C SCI Summary (PDF)
Service Contract Inventory
Jan. 15, 2015
SEC FY2013 Appendix B SCI Detail (PDF)
Service Contract Inventory
Jan. 15, 2015
FY 2013 Service Contract Inventory Analysis (PDF)
Service Contract Inventory
Jan. 15, 2015
Planned Analysis of FY 2013 Inventory (PDF)
Service Contract Inventory
Jan. 13, 2015
2015 Examination Priorities (PDF)
Jan. 5, 2015
2014 Results for Regions (PDF)
Federal Employee Viewpoint Survey
Jan. 5, 2015
2014 Results for Headquarters (PDF)
Federal Employee Viewpoint Survey
Dec. 23, 2014
2014 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (PDF)
Special Studies
Dec. 23, 2014
Annual Report to Congress - June 26, 2013 – June 25, 2014 (PDF)
Annual Reports
Dec. 23, 2014
Office of the Investor Advocate FY 2014 Report on Activities (PDF)
Dec. 22, 2014
2014 Report and Certification (PDF)
Internal Supervisory Controls
Dec. 2, 2014
Semiannual Management Report (November 2014) (PDF)
Nov. 17, 2014
2014 Annual Report on the Dodd-Frank Whistleblower Program (PDF)
Annual Reports
Nov. 17, 2014
Fiscal Year 2014 Agency Financial Report
Annual Reports
Nov. 11, 2014
SEC FY2014 Appendix B and C SCI Details (XLSX)
Service Contract Inventory
Nov. 11, 2014
FY 2014 Service Contract Inventory Analysis (PDF)
Service Contract Inventory
Nov. 6, 2014
SEC FY2014 Supplement SCI (XLSX)
Service Contract Inventory
Nov. 4, 2014
Planned Analysis of FY 2014 Inventory (PDF)
Service Contract Inventory
Nov. 3, 2014
SEC FY 2013 Conference Spending (PDF)
Conference Spending
Oct. 29, 2014
Report on Administrative Proceedings for the Period April 1, 2014 through September 30, 2014 (PDF)
Special Studies
Aug. 18, 2014
2014 Inventory (PDF)
FAIR Act
Aug. 15, 2014
Annual Staff Report Relating to the Use of Data Collected from Private Fund Systemic Risk Reports (PDF)
Special Studies
June 30, 2014
Report on Objectives - Office of the Investor Advocate (PDF)
Annual Reports
June 5, 2014
Short Sale Position and Transaction Reporting (PDF)
Special Studies
May 23, 2014
Semiannual Management Report (May 2014) (PDF)
April 30, 2014
Report on Administrative Proceedings For the Period October 1, 2013 through March 31, 2014 (PDF)
Special Studies
April 18, 2014
SEC OMWI FY 2013 Annual Report to Congress (PDF)
Annual Reports
March 7, 2014
FY 2015 Congressional Justification and Performance Plan & FY 2013 Annual Performance Report
Budget Reports
Feb. 27, 2014
Q&A: Small Business and the SEC
Investor Publications
Feb. 19, 2014
Identity Theft: Learn How To Protect Yourself
Investor Publications
Feb. 19, 2014
Understanding Investment Professional Designations (tips from FINRA)
Investor Publications
Feb. 7, 2014
Select SEC and Market Data 2013 (PDF)
Select SEC and Market Data
Jan. 12, 2014
Beginners' Guide to Financial Statements
Investor Publications
Jan. 9, 2014
2014 Examination Priorities (PDF)
Dec. 24, 2013
2013 Summary Report of Commission Staffs Examinations of Each Nationally Recognized Statistical Rating Organization (PDF)
Special Studies
Dec. 20, 2013
JOBS Act Section 108 Report to Congress on Review of Disclosure Requirements in Regulation S-K (PDF)
Special Studies
Dec. 17, 2013
2013 Report and Certification (PDF)
Internal Supervisory Controls
Dec. 16, 2013
2013 Agency Financial Report
Annual Reports
Dec. 1, 2013
Annual Report to Congress - June 26, 2012 to June 25, 2013 (PDF)
Annual Reports
Nov. 27, 2013
Semiannual Management Report (November 2013) (PDF)
Nov. 21, 2013
Report to Congress on Credit Rating Agency Independence Study (PDF)
Special Studies
Nov. 18, 2013
2013 Annual Report on the Dodd-Frank Whistleblower Program (PDF)
Annual Reports
Oct. 30, 2013
Report on Administrative Proceedings for the Period April 1, 2013 through September 30, 2013 (PDF)
Special Studies
Oct. 9, 2013
Affinity Fraud: How to Avoid Investment Scams That Target Group
Investor Publications
Oct. 2, 2013
HSPD-12 Implementation Status Report (Personal Identification Verification (PIV) Credentials) (PDF)
Sept. 18, 2013
Microcap Stock: A Guide for Investors
Investor Publications
Sept. 5, 2013
"Phishing" Fraud: How to Avoid Getting Fried by Phony Phishermen
Investor Publications
Aug. 7, 2013
2013 Inventory (PDF)
FAIR Act
July 25, 2013
Annual Staff Report Relating to the Use of Data Collected from Private Fund Systemic Risk Reports (PDF)
Special Studies
April 30, 2013
Fourth Report on the Implementation of SEC Organizational Reform Recommendations (PDF)
Special Studies
April 30, 2013
Report on Administrative Proceedings for the Period October 1, 2012 through March 31, 2013 (PDF)
Special Studies
April 24, 2013
Office of Minority and Women Inclusion Annual Report (PDF)
Annual Reports
April 19, 2013
A Guide for Seniors: Protect Yourself Against Investment Fraud (PDF)
Investor Publications
April 10, 2013
FY 2014 Congressional Justification and Performance Plan & FY 2012 Annual Performance Report
Budget Reports
Feb. 21, 2013
2013 Examination Priorities (PDF)
Feb. 7, 2013
Summary of Performance and Financial Information, Fiscal Year 2012 (PDF) (PDF)
Annual Reports
Feb. 6, 2013
Select SEC and Market Data 2012 (PDF)
Select SEC and Market Data
Jan. 31, 2013
SEC FY 2012 Conference Spending (PDF)
Conference Spending
Jan. 16, 2013
Rule 144: Selling Restricted and Control Securities
Investor Publications
Jan. 16, 2013
Trade Execution: What Every Investor Should Know
Investor Publications
Dec. 28, 2012
SEC FY2012 Appendix C SCI Summary (PDF)
Service Contract Inventory
Dec. 19, 2012
2012 Report and Certification (PDF)
Internal Supervisory Controls
Dec. 18, 2012
SEC FY2012 Appendix B SCI Detail (PDF)
Service Contract Inventory
Dec. 18, 2012
Assigned Credit Ratings (PDF)
Special Studies
Dec. 17, 2012
FY 2012 Service Contract Inventory Analysis (PDF)
Service Contract Inventory
Dec. 13, 2012
SEC FY2011 Appendix C SCI Summary (PDF)
Service Contract Inventory
Dec. 13, 2012
SEC FY2011 Appendix B SCI Detail (PDF)
Service Contract Inventory
Dec. 13, 2012
FY 2011 Service Contract Inventory Analysis (PDF)
Service Contract Inventory
Dec. 13, 2012
Planned Analysis of FY 2011 Inventory (PDF)
Service Contract Inventory
Dec. 11, 2012
Planned Analysis of FY 2012 Inventory (PDF)
Service Contract Inventory
Dec. 4, 2012
Researching the Federal Securities Laws Through the SEC Website
Investor Publications
Dec. 1, 2012
Annual Report to Congress - June 26, 2011 to June 25, 2012 (PDF)
Annual Reports
Nov. 15, 2012
2012 Annual Report on the Dodd-Frank Whistleblower Program (PDF)
Annual Reports
Nov. 15, 2012
2012 Summary Report of Commission Staffs Examinations of Each Nationally Recognized Statistical Rating Organization (PDF)
Special Studies
Oct. 25, 2012
Report on Administrative Proceedings for the Period April 1, 2012 through September 30, 2012 (PDF)
Special Studies
Oct. 17, 2012
Third Report on the Implementation of SEC Organizational Reform Recommendations (PDF)
Special Studies
Oct. 16, 2012
JOBS Act Section 504 Report on Authority to Enforce Exchange Act Rule 12g5-1 and Subsection (b)(3) (PDF)
Special Studies
Sept. 24, 2012
Guide to Insider Trading: Online Publications at the SE
Investor Publications
Sept. 7, 2012
Report on Credit Rating Standardization (PDF)
Special Studies
Aug. 30, 2012
SEC Staff Study Regarding Financial Literacy Among Investors
Special Studies
Aug. 7, 2012
Investment Advisers: What You Need to Know Before Choosing One
Investor Publications
July 31, 2012
Report on the Municipal Securities Market (PDF)
Special Studies
July 20, 2012
JOBS Act Section 106 Report to Congress on Decimalization (PDF)
Special Studies
July 12, 2012
2012 Inventory (PDF)
FAIR Act
April 30, 2012
Report on Administrative Proceedings for the Period October 1, 2011 through March 31, 2012 (PDF)
Special Studies
April 11, 2012
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
April 10, 2012
Office of Minority and Women Inclusion Annual Report (PDF)
Annual Reports
March 30, 2012
Report on the Implementation of SEC Organizational Reform Recommendations (PDF)
Special Studies
March 1, 2012
Annual Report to Congress - June 26, 2010 to June 25, 2011 (PDF)
Annual Reports
Feb. 15, 2012
Congressional Justification FY 2013 in Brief (PDF)
Budget Reports
Feb. 1, 2012
Joint Report on International Swap Regulation (PDF)
Special Studies
Jan. 19, 2012
Researchers and LibrariansEasy Access to Selected Securities and Investor Information at the SEC
Investor Publications
Jan. 3, 2012
Select SEC and Market Data 2011 (PDF)
Select SEC and Market Data
Jan. 1, 2012
2012 Agency Financial Report
Annual Reports
Dec. 16, 2011
2011 Report and Certification (PDF)
Internal Supervisory Controls
Nov. 14, 2011
2011 Annual Report on the Dodd-Frank Whistleblower Program (PDF)
Annual Reports
Nov. 4, 2011
Report on Administrative Proceedings for the Period April 1, 2011 through September 30, 2011 (PDF)
Special Studies
Oct. 6, 2011
Mutual-to-Stock Conversions: Tips for Investor
Investor Publications
Sept. 30, 2011
2011 Summary Report of Commission Staff's Examinations of Each Nationally Recognized Statistical Rating Organization (PDF)
Special Studies
Sept. 9, 2011
Report on the Implementation of SEC Organizational Reform Recommendations (PDF)
Special Studies
July 27, 2011
Staff Summary Report on Issues Identified in Examinations of Certain Structured Securities Products Sold to Retail Investors (PDF)
Special Studies
July 21, 2011
Report on Review of Reliance on Credit Ratings (PDF)
Special Studies
July 12, 2011
2011 Inventory (PDF)
FAIR Act
April 22, 2011
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
April 20, 2011
Report on Administrative Proceedings for the Period October 1, 2010 through March 31, 2011 (PDF)
Special Studies
April 7, 2011
Joint Study on the Feasibility of Mandating Algorithmic Descriptions for Derivatives (PDF)
Special Studies
April 5, 2011
2010 Report (PDF)
Buy American Act
March 10, 2011
U.S. Securities and Exchange Commission Organizational Study and Reform (PDF)
Special Studies
Feb. 16, 2011
About the SECs Office of Investor Education and Advocacy
Investor Publications
Feb. 14, 2011
Congressional Justification FY 2012 in Brief (PDF)
Budget Reports
Feb. 1, 2011
Internet Fraud: How to Avoid Internet Investment Scams
Investor Publications
Jan. 26, 2011
Study and Recommendations on Improved Investor Access to Registration Information About Investment Advisers and Broker-Dealers (PDF)
Special Studies
Jan. 21, 2011
Study on Investment Advisers and Broker-Dealers
Special Studies
Jan. 19, 2011
Staff Study on Enhancing Investment Adviser Examinations
Special Studies
Jan. 10, 2011
Select SEC and Market Data 2010 (PDF)
Select SEC and Market Data
Jan. 1, 2011
2011 Annual Report
Annual Reports
Jan. 1, 2011
Annual Report to Congress - June 26, 2009 to June 25, 2010 (PDF)
Annual Reports
Nov. 12, 2010
E-Government Act Implementation Updates: FY 2010 Update (PDF)
Oct. 29, 2010
Annual Report on Whistleblower Program (PDF)
Special Studies
Oct. 29, 2010
Report on Administrative Proceedings for Period April 1, 2010 through September 30, 2010 (PDF)
Special Studies
Oct. 27, 2010
2010-2015 Strategic Plan (PDF)
Strategic Plan
Sept. 30, 2010
Findings Regarding the Market Events of May 6, 2010 (PDF)
Special Studies
Aug. 30, 2010
Analyzing Analyst Recommendations
Investor Publications
Aug. 10, 2010
The SEC Mutual Fund Cost Calculator: A Tool for Comparing Mutual Funds
Investor Publications
July 22, 2010
Life Settlements Task Force: Staff Report to the United States Securities and Exchange Commission (PDF)
Special Studies
July 12, 2010
2010 Inventory (PDF)
FAIR Act
April 27, 2010
Report on Administrative Proceedings for Period October 1, 2009 through March 31, 2010 (PDF)
Special Studies
March 30, 2010
2009 Report (PDF)
Buy American Act
Feb. 14, 2010
Congressional Justification FY 2011 in Brief (PDF)
Budget Reports
Jan. 1, 2010
2010 Annual Report
Annual Reports
Dec. 14, 2009
Five Questions to Ask Before You Invest
Investor Publications
Dec. 2, 2009
Beginners Guide to Investing
Investor Publications
Dec. 2, 2009
Fake Seals and Phony Numbers: How Fraudsters Try to Look Legit
Investor Publications
Dec. 2, 2009
SIPC Exposes Phony "Look-Alike" Web Site
Investor Publications
Dec. 2, 2009
Taking Stock: Getting Your Fiscal Act Together
Investor Publications
Nov. 18, 2009
Cold Calling: Unsolicited Calls from Brokers
Investor Publications
Nov. 16, 2009
Select SEC and Market Data 2009 (PDF)
Select SEC and Market Data
Nov. 15, 2009
E-Government Act Implementation Updates: FY 2009 Update (PDF)
Nov. 12, 2009
Guide to Identifying and Avoiding Securities Fraud
Investor Publications
Oct. 30, 2009
Report on Administrative Proceedings for Period April 1, 2009 through September 30, 2009 (PDF)
Special Studies
Oct. 6, 2009
Compliance Guide to the Registration and Regulation of Brokers and Dealers
Investor Publications
Sept. 4, 2009
Executive Summary: Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme (PDF)
Special Studies
Sept. 4, 2009
Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme
Special Studies
Sept. 1, 2009
Annual Report to Congress - June 26, 2008 to June 25, 2009 (PDF)
Annual Reports
Aug. 28, 2009
Beginners' Guide to Asset Allocation, Diversification, and Rebalancing
Investor Publications
July 12, 2009
2009 Inventory (PDF)
FAIR Act
June 9, 2009
All About Auto-Trading
Investor Publications
June 9, 2009
How To Avoid Fraud
Investor Publications
June 1, 2009
Warning to All Investors About Bogus "Prime Bank" and Other Banking-Related Investment Schemes
Investor Publications
May 6, 2009
Ultra-Short Bond Funds: Know Where You're Parking Your Money
Investor Publications
May 6, 2009
Congressional Justification FY 2010 in Brief (PDF)
Budget Reports
April 28, 2009
Report on Administrative Proceedings for Period October 1, 2008 through March 31, 2009 (PDF)
Special Studies
April 21, 2009
Beginners Guide to Mutual Funds
Investor Publications
April 17, 2009
Margin: Borrowing Money to Pay for Stocks
Investor Publications
April 16, 2009
Transferring your Brokerage Account: Tips on Avoiding Delays
Investor Publications
April 3, 2009
2008 Report (PDF)
Buy American Act
March 17, 2009
Execution Quality Statistics: How to Find Information on Order Execution and Routing Practices
Investor Publications
Feb. 27, 2009
"Senior" Specialists and Advisors: What You Should Know About Professional Designations
Investor Publications
Feb. 27, 2009
Online Brokerage Accounts: What You Can Do to Safeguard Your Money and Your Personal Information
Investor Publications
Feb. 4, 2009
The Fleecing of Foreign Investors: Avoid Getting Burned by "Hot" U.S. Stocks
Investor Publications
Feb. 3, 2009
Bankruptcy: What Happens When Public Companies Go Bankrupt
Investor Publications
Jan. 1, 2009
2009 Annual Report
Annual Reports
Dec. 30, 2008
SEC's Congressionally Mandated Study on Mark-to-Market Accounting (PDF)
Special Studies
Dec. 3, 2008
High-Yield CDs: Protect Your Money by Checking the Fine Print
Investor Publications
Nov. 21, 2008
Select SEC and Market Data 2008 (PDF)
Select SEC and Market Data
Nov. 4, 2008
After-Hours Trading: Understanding the Risks
Investor Publications
Oct. 31, 2008
Report on Administrative Proceedings for Period April 1, 2008 through September 30, 2008 (PDF)
Special Studies
Oct. 16, 2008
2008 Inventory (PDF)
FAIR Act
Oct. 14, 2008
E-Government Act Implementation Updates: FY 2008 Update (PDF)
July 14, 2008
Promissory Notes: Promises, Problems (PDF)
Investor Publications
July 8, 2008
Summary Report of Issues Identified in the Commission Staff's Examinations of Select Credit Rating Agencies (PDF)
Special Studies
July 1, 2008
Getting Info About Companies
Investor Publications
June 9, 2008
Evaluating Your Retirement Options: The 403(b) Plan
Investor Publications
June 1, 2008
Annual Report to Congress - June 26, 2007 to June 25, 2008 (PDF)
Annual Reports
April 30, 2008
Report on Administrative Proceedings For Period October 1, 2007 through March 31, 2008 (PDF)
Special Studies
March 31, 2008
2007 Report (PDF)
Buy American Act
March 24, 2008
Investment Choices and Methods
Investor Publications
March 3, 2008
OMB Exhibit 300 Reports FY 2009
Budget Reports
Feb. 4, 2008
Congressional Justification FY 2009 in Brief (PDF)
Budget Reports
Jan. 31, 2008
Mini-Tender Offers: Tips for Investors
Investor Publications
Jan. 1, 2008
2008 Annual Report — Performance and Accountability Report
Annual Reports
Jan. 1, 2008
2008 Citizens’ Report
Annual Reports
Nov. 15, 2007
Select SEC and Market Data 2007 (PDF)
Select SEC and Market Data
Oct. 31, 2007
Report on Administrative Proceedings for Period April 1, 2007 through September 30, 2007 (PDF)
Special Studies
Oct. 15, 2007
E-Government Act Implementation Updates: FY 2007 Update (PDF)
Aug. 22, 2007
2007 Inventory (PDF)
FAIR Act
Aug. 15, 2007
Avoiding Internet Investment Scams: Tips for Investors
Investor Publications
Aug. 1, 2007
"Pro Forma" Financial Information: Tips for Investors
Investor Publications
Aug. 1, 2007
Oil and Gas Scams: Common Red Flags and Steps You Can Take to Protect Yoursel
Investor Publications
Aug. 1, 2007
Periodic Payment Plans
Investor Publications
Aug. 1, 2007
Privacy Choices for Your Personal Financial Information
Investor Publications
Aug. 1, 2007
Ask Questions: Questions You Should Ask About Your Investments and What To Do If You Run Into Problems
Investor Publications
Aug. 1, 2007
Get the Facts on Saving and Investing
Investor Publications
Aug. 1, 2007
Invest Wisely: Advice From Your Securities Industry Regulators
Investor Publications
Aug. 1, 2007
Pregunte (folleto en Espanol) ("Ask Questions" brochure in Spanish)
Investor Publications
Aug. 1, 2007
Tips for Online Investing: What You Need to Know About Trading In Fast-Moving Markets
Investor Publications
July 31, 2007
Form for Taking Notes
Investor Publications
May 8, 2007
Mutual Fund Investing: Look at More Than a Fund's Past Performance
Investor Publications
April 27, 2007
Report on Administrative Proceedings for Period October 1, 2006 through March 31, 2007 (PDF)
Special Studies
March 29, 2007
Report on Refunds, Sales Practices, and Revenues from Periodic Payment Plans (PDF)
Special Studies
March 29, 2007
2006 Report (PDF)
Buy American Act
March 8, 2007
Report Concerning Examinations of Options Order Routing and Execution (PDF)
Special Studies
March 1, 2007
Select SEC and Market Data 2006 (PDF)
Select SEC and Market Data
Feb. 5, 2007
2008 Performance Budget (PDF)
Budget Reports
Feb. 5, 2007
Beginners' Guide to Financial Statement
Investor Publications
Feb. 5, 2007
Congressional Justification FY 2008 (PDF)
Budget Reports
Jan. 25, 2007
Report on Administrative Proceedings for Period April 1, 2005 through September 30, 2005 (PDF)
Special Studies
Jan. 25, 2007
Report on Administrative Proceedings for Period April 1, 2006 through September 30, 2006 (PDF)
Special Studies
Jan. 25, 2007
Report on Administrative Proceedings for Period October 1, 2005 through March 31, 2006 (PDF)
Special Studies
Jan. 1, 2007
2007 Annual Report — Performance and Accountability Report
Annual Reports
Oct. 15, 2006
E-Government Act Implementation Updates: FY 2006 Update (PDF)
Sept. 8, 2006
OMB Exhibit 300 Reports FY 2008
Budget Reports
July 7, 2006
2006 Inventory (PDF)
FAIR Act
March 24, 2006
2007 Performance Budget (PDF)
Budget Reports
March 5, 2006
2005 Report (PDF)
Buy American Act
March 1, 2006
Select SEC and Market Data 2005 (PDF)
Select SEC and Market Data
Feb. 27, 2006
Auto-Surfing: What You Need to Kno
Investor Publications
Feb. 17, 2006
Congressional Request FY 2007 (PDF)
Budget Reports
Jan. 27, 2006
"Wrong Numbers" and Stock Tips on Your Answering Machine
Investor Publications
Jan. 1, 2006
2006 Annual Report — Performance and Accountability Report
Annual Reports
Oct. 17, 2005
Worthless Stock: How to Avoid Doubling Your Losses
Investor Publications
Oct. 13, 2005
Select SEC and Market Data 2004 (PDF)
Select SEC and Market Data
July 12, 2005
2005 Inventory (PDF)
FAIR Act
June 1, 2005
Selecting and Monitoring Pension Consultants: Tips for Plan Fiduciaries
Investor Publications
April 20, 2005
Day Trading: Your Dollars at Risk
Investor Publications
April 11, 2005
"High Yields" and Hot Air
Investor Publications
April 7, 2005
2006 Performance Budget (PDF)
Budget Reports
Feb. 15, 2005
Congressional Request FY 2006 (PDF)
Budget Reports
Jan. 18, 2005
Mutual Fund Proxy Voting Records and Policies
Investor Publications
Jan. 11, 2005
Pump&Dump.con: Tips for Avoiding Stock Scams on the Internet
Investor Publications
Jan. 11, 2005
Risky Business: "Pre-IPO [Initial Public Offering]" Investing
Investor Publications
Jan. 1, 2005
2005 Annual Report — Performance and Accountability Report
Annual Reports
July 12, 2004
2004 Inventory (PDF)
FAIR Act
June 9, 2004
Variable Annuities and Variable Life Products: Questions to Ask
Investor Publications
May 21, 2004
About Settling Trades In Three Days: Introducing T+3
Investor Publications
Jan. 1, 2004
2004 Annual Report — Performance and Accountability Report
Annual Reports
Sept. 29, 2003
Implications of the Growth of Hedge Funds (PDF)
Special Studies
July 12, 2003
2003 Inventory (PDF)
FAIR Act
Jan. 1, 2003
2003 Annual Report
Annual Reports
July 12, 2002
2002 Inventory (PDF)
FAIR Act
June 24, 2002
All About Auditors
Investor Publications
Jan. 1, 2002
2002 Annual Report
Annual Reports
July 12, 2001
2001 Inventory
FAIR Act
March 1, 2001
Stock Market Fraud "Survivor" Checklist
Investor Publications
Jan. 1, 2001
2001 Annual Report
Annual Reports
Dec. 1, 2000
Report on Mutual Fund Fees and Expenses
Special Studies
Jan. 1, 2000
2000 Annual Report
Annual Reports
March 30, 1999
A Plain English Handbook: How to Create Clear SEC Disclosure Documents
Investor Publications
Jan. 1, 1999
1999 Annual Report
Annual Reports
Jan. 1, 1998
1998 Annual Report (PDF)
Annual Reports
Jan. 1, 1997
1997 Annual Report (PDF)
Annual Reports
Jan. 1, 1996
1996 Annual Report (PDF)
Annual Reports
Jan. 1, 1995
1995 Annual Report (PDF)
Annual Reports
Jan. 1, 1994
1994 Annual Report (PDF)
Annual Reports
Jan. 1, 1993
1993 Annual Report (PDF)
Annual Reports
Jan. 1, 1992
1992 Annual Report (PDF)
Annual Reports
Jan. 1, 1991
1991 Annual Report (PDF)
Annual Reports
Jan. 1, 1990
1990 Annual Report (PDF)
Annual Reports
Jan. 1, 1989
1989 Annual Report (PDF)
Annual Reports
Jan. 1, 1988
1988 Annual Report (PDF)
Annual Reports
Jan. 1, 1987
1987 Annual Report (PDF)
Annual Reports
Jan. 1, 1986
1986 Annual Report (PDF)
Annual Reports
Jan. 1, 1985
1985 Annual Report (PDF)
Annual Reports
Jan. 1, 1984
1984 Annual Report (PDF)
Annual Reports
Jan. 1, 1983
1983 Annual Report (PDF)
Annual Reports
Jan. 1, 1982
1982 Annual Report (PDF)
Annual Reports
Jan. 1, 1981
1981 Annual Report (PDF)
Annual Reports
Jan. 1, 1980
1980 Annual Report (PDF)
Annual Reports
Jan. 1, 1979
1979 Annual Report (PDF)
Annual Reports
Jan. 1, 1978
1978 Annual Report (PDF)
Annual Reports
Jan. 1, 1977
1977 Annual Report (PDF)
Annual Reports
Jan. 1, 1976
1976 Annual Report (PDF)
Annual Reports
Jan. 1, 1975
1975 Annual Report (PDF)
Annual Reports
Jan. 1, 1974
1974 Annual Report (PDF)
Annual Reports
Jan. 1, 1973
1973 Annual Report (PDF)
Annual Reports
Jan. 1, 1972
1972 Annual Report (PDF)
Annual Reports
Jan. 1, 1971
1971 Annual Report (PDF)
Annual Reports
Jan. 1, 1970
1970 Annual Report (PDF)
Annual Reports
Jan. 1, 1969
1969 Annual Report (PDF)
Annual Reports
Jan. 1, 1968
1968 Annual Report (PDF)
Annual Reports
Jan. 1, 1967
1967 Annual Report (PDF)
Annual Reports
Jan. 1, 1966
1966 Annual Report (PDF)
Annual Reports
Jan. 1, 1965
1965 Annual Report (PDF)
Annual Reports
Jan. 1, 1964
1964 Annual Report (PDF)
Annual Reports
Jan. 1, 1963
1963 Annual Report (PDF)
Annual Reports
Jan. 1, 1962
1962 Annual Report (PDF)
Annual Reports
Jan. 1, 1961
1961 Annual Report (PDF)
Annual Reports
Jan. 1, 1960
1960 Annual Report (PDF)
Annual Reports
Jan. 1, 1959
1959 Annual Report (PDF)
Annual Reports
Jan. 1, 1958
1958 Annual Report (PDF)
Annual Reports
Jan. 1, 1957
1957 Annual Report (PDF)
Annual Reports
Jan. 1, 1956
1956 Annual Report (PDF)
Annual Reports
Jan. 1, 1955
1955 Annual Report (PDF)
Annual Reports
Jan. 1, 1954
1954 Annual Report (PDF)
Annual Reports
Jan. 1, 1953
1953 Annual Report (PDF)
Annual Reports
Jan. 1, 1952
1952 Annual Report (PDF)
Annual Reports
Jan. 1, 1951
1951 Annual Report (PDF)
Annual Reports
Jan. 1, 1950
1950 Annual Report (PDF)
Annual Reports
Jan. 1, 1949
1949 Annual Report (PDF)
Annual Reports
Jan. 1, 1948
1948 Annual Report (PDF)
Annual Reports
Jan. 1, 1947
1947 Annual Report (PDF)
Annual Reports
Jan. 1, 1946
1946 Annual Report (PDF)
Annual Reports
Jan. 1, 1945
1945 Annual Report (PDF)
Annual Reports
Jan. 1, 1944
1944 Annual Report (PDF)
Annual Reports
Jan. 1, 1943
1943 Annual Report (PDF)
Annual Reports
Jan. 1, 1942
1942 Annual Report (PDF)
Annual Reports
Jan. 1, 1941
1941 Annual Report (PDF)
Annual Reports
Jan. 1, 1940
1940 Annual Report (PDF)
Annual Reports
Jan. 1, 1939
1939 Annual Report (PDF)
Annual Reports
Jan. 1, 1938
1938 Annual Report (PDF)
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Jan. 1, 1937
1937 Annual Report (PDF)
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Jan. 1, 1936
1936 Annual Report (PDF)
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Jan. 1, 1935
1935 Annual Report (PDF)
Annual Reports