This listing includes common periodic SEC reports.

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.

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Date
Title
Category
Date: Title: Report on Administrative Proceedings for the Period October 1, 2016 through March 31, 2017 (PDF)

Secretary 		Category: Special Studies
Date: Title: DOJ Press Release: Connecticut Financial Advisor Sentenced for Obstructing SEC Investigation(PDF)
Inspector General 		Category:
Date: Title: SEC OMWI FY 2016 Annual Report to Congress(PDF)
Minority and Women Inclusion 		Category: Annual Reports
Date: Title: Audit of the Division of Corporation Finance’s Management of Requests for No-Action and Interpretive Letters, Exemptions, and Waivers, Report No. 540(PDF)
Inspector General 		Category:
Date: Title: Results of Inspector General's Fiscal Year 2016 Purchase Card Program Risk Assessment(PDF)
Inspector General 		Category:
Date: Title: Inspector General's Review of the SEC's FY 2016 Compliance with the Improper Payments Information Act(PDF)
Inspector General 		Category:
Date: Title: Audit of the SEC’s Compliance with the Federal Information Security Modernization Act for Fiscal Year 2016, Report No. 539(PDF)
Inspector General 		Category:
Date: Title: Summary of Performance and Financial Information, Fiscal Year 2016(PDF)
Category: Annual Reports
Date: Title: Select SEC and Market Data 2016(PDF)
Category: Select SEC and Market Data
Date: Title: Inspector General's FY 2016 Letter to OMB on SEC's Implementation of Purchase Card Program Audit Recommendations(PDF)
Inspector General 		Category:
Date: Title: SEC FY 2016 Conference Spending(PDF)
Category: Conference Spending
Date: Title: Annual Report to Congress on Nationally Recognized Statistical Rating Organizations - June 26, 2015 – June 25, 2016 (PDF)
Credit Ratings 		Category: Annual Reports
Date: Title: 2016 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization(PDF)
Credit Ratings 		Category: Special Studies
Date: Title: Office of the Investor Advocate FY 2016 Report on Activities(PDF)
Investor Advocate 		Category: Annual Reports
Date: Title: Invest Wisely: An Introduction to Mutual Funds
 Category: Investor Publications
Date: Title: International Investing
 Category: Investor Publications
Date: Title: Semiannual Management Report (November 2016)(PDF)
Category:
Date: Title: Report on Modernization and Simplification of Regulation S-K  (PDF)
Category:
Date: Title: 2016 Annual Report to Congress on the Dodd-Frank Whistleblower Program(PDF)
Whistleblower 		Category: Annual Reports
Date: Title: Fiscal Year 2016 Agency Financial Report
 Category: Annual Reports
Date: Title: Semiannual Report to Congress: April 1, 2016, through September 30, 2016(PDF)
Inspector General 		Category:
Date: Title: Final Management Letter - Readiness Review of the SEC's Progress Toward Compliance with the DATA Act of 2014(PDF)
Inspector General 		Category:
Date: Title: Report on Administrative Proceedings for the Period April 1, 2016 through September 30, 2016(PDF)
Category: Special Studies
Date: Title: Federal Employee Viewpoint Survey 2016(XLSX)
Category: Federal Employee Viewpoint Survey
Date: Title: Inspector General's Statement on the SEC's Management and Performance Challenges, October 2016(PDF)
Inspector General 		Category:
Date: Title: Audit of the SEC’s Information Technology Requirements-Gathering Process, Report No. 538 (PDF)
Inspector General 		Category:
Date: Title: Audit of the SEC's Process for Reviewing Self-Regulatory Organizations' Proposed Rule Changes, Report No. 537(PDF)
Inspector General 		Category:
Date: Title: OIG Strategic Plan for Fiscal Years 2017 - 2019(PDF)
Inspector General 		Category:
Date: Title: FAIR Act 2016 Inventory(PDF)
Category: FAIR Act
Date: Title: FAIR Act 2015 Inventory(PDF)
Category: FAIR Act
Date: Title: Commission Releases
Credit Ratings 		Category:
Date: Title: Annual Staff Report Relating to the Use of Data Collected from Private Fund Systemic Risk Reports(PDF)
Investment Management 		Category: Special Studies
Date: Title: Final Closeout Memorandum: Audit of the SEC’s Hiring Practices(PDF)
Inspector General 		Category:
Date: Title: Inspector General’s Report on Covered Systems (August 11, 2016) (PDF)
Inspector General 		Category:
Date: Title: Final Management Letter: Evaluation of the SEC Division of Enforcement's Coordination Related to a Federal Civil Action(PDF)
Inspector General 		Category:
Date: Title: Office of the Investor Advocate Report on Objectives for FY 2017(PDF)
Investor Advocate 		Category: Annual Reports
Date: Title: Management of the SEC’s Protective Security Force Contract Needs Improvement, Report No. 536(PDF)
Inspector General 		Category:
Date: Title: Audit of the SEC’s Compliance with the Federal Information Security Modernization Act for Fiscal Year 2015, Report No. 535 (PDF)
Inspector General 		Category:
Date: Title: Semiannual Management Report (May 2016)(PDF)
Category:
Date: Title: Semiannual Report to Congress: October 1, 2015, through March 31, 2016 (PDF)
Inspector General 		Category:
Date: Title: Report on Administrative Proceedings For the Period October 1, 2015 through March 31, 2016(PDF)
Category: Special Studies
Date: Title: SEC FY2015 Appendix B and C SCI Details(XLSX)
Category: Service Contract Inventory
Date: Title: 2014-2018 Strategic Plan(PDF)
Category: Strategic Plan
Date: Title: Annual Equal Employment Opportunity Program Status Report 2015(PDF)
Equal Employment Opportunity 		Category:
Date: Title: Audit of the SEC’s Student Loan Repayment Program, Report No. 534(PDF)
Inspector General 		Category:
Date: Title: SEC OMWI FY 2015 Annual Report to Congress(PDF)
Minority and Women Inclusion 		Category: Annual Reports
Date: Title: Results of Inspector General’s Fiscal Year 2015 Purchase Card Program Risk Assessment(PDF)
Inspector General 		Category:
Date: Title: Office of Compliance Inspections and Examinations' Management of Investment Adviser Examination Coverage Goals, Report No. 533(PDF)
Inspector General 		Category:
Date: Title: Summary of Performance and Financial Information, Fiscal Year 2015(PDF)
Category: Annual Reports
Date: Title: Improvements Needed in Oversight of SEC-Sponsored Conferences, Report No. 532(PDF)
Inspector General 		Category:
Date: Title: Inspector General’s Review of the SEC's FY 2015 Compliance with the Improper Payments Information Act (PDF)
Inspector General 		Category:
Date: Title: FY 2017 Congressional Justification & FY 2015 Annual Performance Report and FY 2017 Annual Performance Plan
 Category: Budget Reports
Date: Title: Select SEC and Market Data 2015(PDF)
Category: Select SEC and Market Data
Date: Title: Review of the SEC’s Pay Transition Program, 15-ONR-0281-R(PDF)
Inspector General 		Category:
Date: Title: Final Report of Investigation, Administrative Law Judges, 15-ALJ-0482-I(PDF)
Inspector General 		Category:
Date: Title: SEC FY2015 Supplement SCI(XLSX)
Category: Service Contract Inventory
Date: Title: Planned Analysis of FY 2015 Inventory(PDF)
Category: Service Contract Inventory
Date: Title: SEC FY 2015 Conference Spending(PDF)
Category: Conference Spending
Date: Title: Peer Review: System Review Report on the Securities and Exchange Commission’s Office of Inspector General Audit Organization(PDF)
Inspector General 		Category:
Date: Title: Inspector General’s FY 2015 Letter to OMB on SEC’s Implementation of Purchase Card Program Audit Recommendations(PDF)
Inspector General 		Category:
Date: Title: 2015 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization(PDF)
Credit Ratings 		Category: Special Studies
Date: Title: Annual Report to Congress on Nationally Recognized Statistical Rating Organizations - June 26, 2014 – June 25, 2015(PDF)
Credit Ratings 		Category: Annual Reports
Date: Title: 2015 Report and Certification(PDF)
Compliance Inspections and Examinations
Corporation Finance
Credit Ratings
Enforcement 		Category: Internal Supervisory Controls
Date: Title: Office of the Investor Advocate FY 2015 Report on Activities(PDF)
Investor Advocate 		Category: Annual Reports
Date: Title: Report on the Review of the Definition of “Accredited Investor”(PDF)
Corporation Finance 		Category: Special Studies
Date: Title: Semiannual Management Report (November 2015)(PDF)
Category:
Date: Title: How the SEC Handles Your Complaint(PDF)
Investor Education and Advocacy 		Category: Investor Publications
Date: Title: Office of Inspector General
Inspector General 		Category:
Date: Title: Semiannual Report to Congress: April 1, 2015, through September 30, 2015(PDF)
Inspector General 		Category:
Date: Title: Fiscal Year 2015 Agency Financial Report
 Category: Annual Reports
Date: Title: 2015 Annual Report on the Dodd-Frank Whistleblower Program (PDF)
Whistleblower 		Category: Annual Reports
Date: Title: SEC FY 2014 Conference Spending(PDF)
Category: Conference Spending
Date: Title: Report on Administrative Proceedings for the Period April 1, 2015 through September 30, 2015(PDF)
Category: Special Studies
Date: Title: Improvements Needed in the Division of Enforcement's Oversight of Fund Administrators, Report No. 531 (PDF)
Inspector General 		Category:
Date: Title: Review of Non-Career Officials’ Involvement in the SEC’s FOIA Response Process(PDF)
Inspector General 		Category:
Date: Title: Audit of the SEC's Contracting Officer's Representative Program, Report No. 530(PDF)
Inspector General 		Category:
Date: Title: Annual Staff Report Relating to the Use of Data Collected from Private Fund Systemic Risk Reports(PDF)
Investment Management 		Category: Special Studies
Date: Title: Interim Report of Investigation, Administrative Law Judges, 15-ALJ-0482-I(PDF)
Inspector General 		Category:
Date: Title: Joint Staff Report: The U.S. Treasury Market on October 15, 2014(PDF)
Category: Special Studies
Date: Title: Final Management Letter: Evaluation of the SEC’s Use of the Reserve Fund(PDF)
Inspector General 		Category:
Date: Title: Office of the Investor Advocate Report on Objectives for FY 2016(PDF)
Investor Advocate 		Category: Annual Reports
Date: Title: Semiannual Management Report (May 2015)(PDF)
Category:
Date: Title: Semiannual Report to Congress: October 1, 2014, through March 31, 2015(PDF)
Inspector General 		Category:
Date: Title: Final Management Letter: Observations Noted During TCR System Audit Support Engagement(PDF)
Inspector General 		Category:
Date: Title: Report on Administrative Proceedings For the Period October 1, 2014 through March 31, 2015(PDF)
Category: Special Studies
Date: Title: OCIE-FINRA Report on National Senior Investor Initiative(PDF)
Compliance Inspections and Examinations 		Category:
Date: Title: Annual Equal Employment Opportunity Program Status Report 2014(PDF)
Equal Employment Opportunity 		Category:
Date: Title: SEC OMWI FY 2014 Annual Report to Congress(PDF)
Minority and Women Inclusion 		Category: Annual Reports
Date: Title: Results of Inspector General’s Fiscal Year 2014 Purchase Card Program Risk Assessment, February 24, 2015(PDF)
Inspector General 		Category:
Date: Title: Summary of Performance and Financial Information, Fiscal Year 2014(PDF)
Category: Annual Reports
Date: Title: Select SEC and Market Data 2014(PDF)
Category: Select SEC and Market Data
Date: Title: Federal Information Security Management Act: Fiscal Year 2014 Evaluation, Report No. 529(PDF)
Inspector General 		Category:
Date: Title: FY 2016 Congressional Justification & FY 2014 Annual Performance Report and FY 2016 Annual Performance Plan
 Category: Budget Reports
Date: Title: Inspector General's Review of the SEC’s FY 2014 Compliance with the Improper Payments Information Act January 21, 2015(PDF)
Inspector General 		Category:
Date: Title: SEC FY2013 Appendix C SCI Summary(PDF)
Category: Service Contract Inventory
Date: Title: SEC FY2013 Appendix B SCI Detail(PDF)
Category: Service Contract Inventory
Date: Title: FY 2013 Service Contract Inventory Analysis(PDF)
Category: Service Contract Inventory
Date: Title: Planned Analysis of FY 2013 Inventory(PDF)
Category: Service Contract Inventory
Date: Title: Inspector General’s FY 2014 Letter to OMB on SEC’s Implementation of Purchase Card Program Audit Recommendations(PDF)
Inspector General 		Category:
Date: Title: 2014 Results for Regions(PDF)
Category: Federal Employee Viewpoint Survey
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