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: 2019 Annual Report to Congress on the Dodd-Frank Whistleblower Program(PDF)
Whistleblower 		Category: Annual Reports
Date: Title: Fiscal Year 2019 Agency Financial Report
 Category: Annual Reports
Date: Title: Division of Enforcement 2019 Annual Report(PDF)
Enforcement 		Category: Annual Reports
Date: Title: Report on Administrative Proceedings For the Period April 1, 2019 through September 30, 2019(PDF)
Secretary 		Category: Special Studies
Date: Title: Office of the Investor Advocate Report on Objectives for Fiscal Year 2020(PDF)
Investor Advocate 		Category: Annual Reports
Date: Title: FAIR Inventory 2019(PDF)
Category: FAIR Act
Date: Title: FAIR Inventory 2018(PDF)
Category: FAIR Act
Date: Title: Regulation Crowdfunding Report 2019(PDF)
Corporation Finance 		Category:
Date: Title: SEC OMWI FY 2018 Annual Report to Congress(PDF)
Minority and Women Inclusion 		Category: Annual Reports
Date: Title: Report on Administrative Proceedings For the Period October 1, 2018 through March 31, 2019(PDF)
Secretary 		Category: Special Studies
Date: Title: Fiscal Year 2020 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2018 Annual Performance Report
 Category: Budget Reports
Date: Title: Federal Employee Viewpoint Survey 2018(XLSX)
Category: Federal Employee Viewpoint Survey
Date: Title: SEC FY 2018 Conference Spending (PDF)
Financial Management 		Category: Conference Spending
Date: Title: Office of the Investor Advocate FY 2018 Report on Activities(PDF)
Investor Advocate 		Category: Annual Reports
Date: Title: Annual Report to Congress on Nationally Recognized Statistical Rating Organization - June 26, 2017 - June 25, 2018 (PDF)
Credit Ratings 		Category: Annual Reports
Date: Title: 2018 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization(PDF)
Credit Ratings 		Category: Special Studies
Date: Title: Annual Staff Report Relating to the Use of Form PF Data(PDF)
Investment Management 		Category: Special Studies
Date: Title: Fiscal Year 2018 Agency Financial Report
 Category: Annual Reports
Date: Title: 2018 Annual Report to Congress on the Dodd-Frank Whistleblower Program(PDF)
Whistleblower 		Category: Annual Reports
Date: Title: Division of Enforcement 2018 Annual Report(PDF)
Enforcement 		Category: Annual Reports
Date: Title: Report on Administrative Proceedings For the Period April 1, 2018 through September 30, 2018 (PDF)
Secretary 		Category: Special Studies
Date: Title: 2018-2022 Strategic Plan(PDF)
Category: Strategic Plan
Date: Title: Select SEC and Market Data 2017(PDF)
Category: Select SEC and Market Data
Date: Title: Office of the Investor Advocate Report on Objectives for Fiscal Year 2019(PDF)
Investor Advocate 		Category: Annual Reports
Date: Title: Addendum to Division of Enforcement 2017 Annual Report (Select SEC and Market Data Fiscal 2017 – Enforcement Information Only)(PDF)
Enforcement 		Category: Select SEC and Market Data
Date: Title: 2017 Report and Certification of Internal Supervisory Controls(PDF)
Category: Internal Supervisory Controls
Date: Title: Semiannual Management Report (May 2018)(PDF)
Category:
Date: Title: Report on Administrative Proceedings for the Period October 1, 2017, through March 31, 2018(PDF)
Secretary 		Category: Special Studies
Date: Title: SEC OMWI FY 2017 Annual Report to Congress(PDF)
Minority and Women Inclusion 		Category: Annual Reports
Date: Title: Fiscal Year 2019 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2017 Annual Performance Report
 Category: Budget Reports
Date: Title: SEC FY 2017 Conference Spending (PDF)
Financial Management 		Category: Conference Spending
Date: Title: Office of the Investor Advocate FY 2017 Report on Activities(PDF)
Investor Advocate 		Category: Annual Reports
Date: Title: Semiannual Management Report (November 2017)(PDF)
Category:
Date: Title: 2017 Annual Report to Congress on the Dodd-Frank Whistleblower Program(PDF)
Whistleblower 		Category: Annual Reports
Date: Title: Division of Enforcement 2017 Annual Report(PDF)
Enforcement 		Category:
Date: Title: Addendum to Division of Enforcement 2017 Annual Report (Select SEC and Market Data Fiscal 2017 – Enforcement Information Only) (addendum posted June 19, 2018)(PDF)
Enforcement 		Category:
Date: Title: Fiscal Year 2017 Agency Financial Report
 Category: Annual Reports
Date: Title: Federal Employee Viewpoint Survey 2017(XLSX)
Category: Federal Employee Viewpoint Survey
Date: Title: Report on Administrative Proceedings for the Period April 1, 2017 through September 30, 2017(PDF)
Secretary 		Category: Special Studies
Date: Title: Annual Staff Report Relating to the Use of Form PF Data(PDF)
Investment Management 		Category: Special Studies
Date: Title: Annual Equal Employment Opportunity Program Status Report 2016 (PDF) Equal Employment Opportunity(PDF)
Equal Employment Opportunity 		Category:
Date: Title: FY 2015 Service Contract Inventory Analysis(PDF)
Category: Service Contract Inventory
Date: Title: Planned Analysis of FY 2016 Inventory(PDF)
Category: Service Contract Inventory
Date: Title: FAIR Inventory 2017(PDF)
Category: FAIR Act
Date: Title: Access to Capital and Market Liquidity(PDF)
Economic and Risk Analysis 		Category: Special Studies
Date: Title: Office of the Investor Advocate Report on Objectives for Fiscal Year 2018(PDF)
Investor Advocate 		Category: Annual Reports
Date: Title: 2016 Report and Certification(PDF)
Category: Internal Supervisory Controls
Date: Title: Fiscal Year 2018 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2016 Annual Performance Report
 Category: Budget Reports
Date: Title: Semiannual Management Report (May 2017)(PDF)
Category:
Date: Title: Report on Administrative Proceedings for the Period October 1, 2016 through March 31, 2017 (PDF)
Secretary 		Category: Special Studies
Date: Title: SEC OMWI FY 2016 Annual Report to Congress(PDF)
Minority and Women Inclusion 		Category: Annual Reports
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: 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: 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: 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: FAIR Inventory 2016(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: Office of the Investor Advocate Report on Objectives for FY 2017(PDF)
Investor Advocate 		Category: Annual Reports
Date: Title: Semiannual Management Report (May 2016)(PDF)
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: SEC OMWI FY 2015 Annual Report to Congress(PDF)
Minority and Women Inclusion 		Category: Annual Reports
Date: Title: Summary of Performance and Financial Information, Fiscal Year 2015(PDF)
Category: Annual Reports
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: 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: 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)
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: 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: Annual Staff Report Relating to the Use of Data Collected from Private Fund Systemic Risk Reports(PDF)
Investment Management 		Category: Special Studies
Date: Title: Joint Staff Report: The U.S. Treasury Market on October 15, 2014(PDF)
Category: Special Studies
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: 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: 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
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