Reports and Publications
Note: For periodic FOIA reports on Alternative Trading Systems, Fails-to-Deliver Data, Registered Investment Advisers and Broker Dealers, see Frequently Requested FOIA Documents. For occasional reports on current trends and issues facing the securities industry, see SEC Special Studies.
Date: Jan. 19, 2017
Title: Summary of Performance and Financial Information, Fiscal Year 2016 (PDF)
Category: Annual Reports
Date: Jan. 18, 2017
Title: Select SEC and Market Data 2016 (PDF)
Category: Select SEC and Market Data
Date: Jan. 11, 2017
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Date: Dec. 21, 2016
Category: Annual Reports
Date: Dec. 21, 2016
Category: Special Studies
Date: Dec. 21, 2016
Title: Office of the Investor Advocate FY 2016 Report on Activities (PDF)
Category: Annual Reports
Date: Dec. 19, 2016
Title: Invest Wisely: An Introduction to Mutual Funds
Category: Investor Publications
Date: Nov. 23, 2016
Title: Report on Modernization and Simplification of Regulation S-K (PDF)
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Date: Nov. 15, 2016
Title: 2016 Annual Report to Congress on the Dodd-Frank Whistleblower Program (PDF)
Category: Annual Reports
Date: Nov. 14, 2016
Title: Semiannual Report to Congress: April 1, 2016, through September 30, 2016 (PDF)
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Date: Nov. 2, 2016
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Date: Oct. 28, 2016
Title: Report on Administrative Proceedings for the Period April 1, 2016 through September 30, 2016 (PDF)
Category: Special Studies
Date: Oct. 14, 2016
Title: Federal Employee Viewpoint Survey 2016 (XLSX)
Category: Federal Employee Viewpoint Survey
Date: Oct. 7, 2016
Title: Inspector General's Statement on the SEC's Management and Performance Challenges, October 2016 (PDF)
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Date: Sept. 30, 2016
Title: Audit of the SEC’s Information Technology Requirements-Gathering Process, Report No. 538 (PDF)
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Date: Sept. 23, 2016
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Date: Aug. 23, 2016
Category: Special Studies
Date: Aug. 19, 2016
Title: Final Closeout Memorandum: Audit of the SEC’s Hiring Practices (PDF)
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Date: Aug. 11, 2016
Title: Inspector General’s Report on Covered Systems (August 11, 2016) (PDF)
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Date: June 30, 2016
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Date: June 30, 2016
Title: Office of the Investor Advocate Report on Objectives for FY 2017 (PDF)
Category: Annual Reports
Date: June 22, 2016
Title: Management of the SEC’s Protective Security Force Contract Needs Improvement, Report No. 536 (PDF)
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Date: June 2, 2016
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Date: May 24, 2016
Title: Semiannual Report to Congress: October 1, 2015, through March 31, 2016 (PDF)
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Date: April 27, 2016
Title: Report on Administrative Proceedings For the Period October 1, 2015 through March 31, 2016 (PDF)
Category: Special Studies
Date: April 22, 2016
Title: SEC FY2015 Appendix B and C SCI Details (XLSX)
Category: Service Contract Inventory
Date: April 20, 2016
Title: Annual Equal Employment Opportunity Program Status Report 2015 (PDF)
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Date: March 31, 2016
Title: Audit of the SEC’s Student Loan Repayment Program, Report No. 534 (PDF)
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Date: March 31, 2016
Title: SEC OMWI FY 2015 Annual Report to Congress (PDF)
Category: Annual Reports
Date: March 31, 2016
Title: Results of Inspector General’s Fiscal Year 2015 Purchase Card Program Risk Assessment (PDF)
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Date: March 10, 2016
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Date: Feb. 11, 2016
Title: Summary of Performance and Financial Information, Fiscal Year 2015 (PDF)
Category: Annual Reports
Date: Feb. 11, 2016
Title: Improvements Needed in Oversight of SEC-Sponsored Conferences, Report No. 532 (PDF)
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Date: Feb. 9, 2016
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Date: Feb. 9, 2016
Category: Budget Reports
Date: Jan. 21, 2016
Title: Final Report of Investigation, Administrative Law Judges, 15-ALJ-0482-I (PDF)
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Date: Jan. 12, 2016
Title: Planned Analysis of FY 2015 Inventory (PDF)
Category: Service Contract Inventory
Date: Jan. 5, 2016
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Date: Jan. 5, 2016
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Date: Dec. 28, 2015
Category: Annual Reports
Date: Dec. 28, 2015
Category: Special Studies
Date: Dec. 23, 2015
Title: 2015 Report and Certification (PDF)
Category: Internal Supervisory Controls
Date: Dec. 23, 2015
Title: Office of the Investor Advocate FY 2015 Report on Activities (PDF)
Category: Annual Reports
Date: Dec. 18, 2015
Title: Report on the Review of the Definition of “Accredited Investor” (PDF)
Category: Special Studies
Date: Nov. 18, 2015
Title: Semiannual Report to Congress: April 1, 2015, through September 30, 2015 (PDF)
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Date: Nov. 16, 2015
Title: 2015 Annual Report on the Dodd-Frank Whistleblower Program (PDF)
Category: Annual Reports
Date: Oct. 29, 2015
Title: Report on Administrative Proceedings for the Period April 1, 2015 through September 30, 2015 (PDF)
Category: Special Studies
Date: Sept. 30, 2015
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Date: Sept. 25, 2015
Title: Review of Non-Career Officials’ Involvement in the SEC’s FOIA Response Process (PDF)
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Date: Sept. 18, 2015
Title: Audit of the SEC's Contracting Officer's Representative Program, Report No. 530 (PDF)
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Date: Aug. 13, 2015
Category: Special Studies
Date: Aug. 7, 2015
Title: Interim Report of Investigation, Administrative Law Judges, 15-ALJ-0482-I (PDF)
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Date: July 13, 2015
Title: Joint Staff Report: The U.S. Treasury Market on October 15, 2014 (PDF)
Category: Special Studies
Date: July 6, 2015
Title: Final Management Letter: Evaluation of the SEC’s Use of the Reserve Fund (PDF)
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Date: June 30, 2015
Title: Office of the Investor Advocate Report on Objectives for FY 2016 (PDF)
Category: Annual Reports
Date: May 26, 2015
Title: Semiannual Report to Congress: October 1, 2014, through March 31, 2015 (PDF)
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Date: May 20, 2015
Title: Final Management Letter: Observations Noted During TCR System Audit Support Engagement (PDF)
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Date: April 30, 2015
Title: Report on Administrative Proceedings For the Period October 1, 2014 through March 31, 2015 (PDF)
Category: Special Studies
Date: April 10, 2015
Title: Annual Equal Employment Opportunity Program Status Report 2014 (PDF)
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Date: Feb. 24, 2015
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Date: Feb. 12, 2015
Title: Summary of Performance and Financial Information, Fiscal Year 2014 (PDF)
Category: Annual Reports
Date: Feb. 5, 2015
Title: Federal Information Security Management Act: Fiscal Year 2014 Evaluation, Report No. 529 (PDF)
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Date: Feb. 2, 2015
Category: Budget Reports
Date: Jan. 21, 2015
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Date: Jan. 15, 2015
Title: SEC FY2013 Appendix C SCI Summary (PDF)
Category: Service Contract Inventory
Date: Jan. 15, 2015
Title: SEC FY2013 Appendix B SCI Detail (PDF)
Category: Service Contract Inventory
Date: Jan. 15, 2015
Title: FY 2013 Service Contract Inventory Analysis (PDF)
Category: Service Contract Inventory
Date: Jan. 15, 2015
Title: Planned Analysis of FY 2013 Inventory (PDF)
Category: Service Contract Inventory
Date: Jan. 13, 2015
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Date: Jan. 5, 2015
Title: 2014 Results for Headquarters (PDF)
Category: Federal Employee Viewpoint Survey
Date: Dec. 23, 2014
Category: Special Studies
Date: Dec. 23, 2014
Title: Annual Report to Congress - June 26, 2013 – June 25, 2014 (PDF)
Category: Annual Reports
Date: Dec. 23, 2014
Title: Office of the Investor Advocate FY 2014 Report on Activities (PDF)
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Date: Dec. 22, 2014
Title: 2014 Report and Certification (PDF)
Category: Internal Supervisory Controls
Date: Dec. 10, 2014
Title: Audit of the Office of the Ethics Counsel’s Oversight of Employee Securities Holdings (PDF)
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