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: 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: Fiscal Year 2018 Independent Evaluation of SEC’s Implementation of the Federal Information Security Modernization Act of 2014, Report No. 552(PDF)
Information Technology
Inspector General 		Category:
Date: Title: Annual Staff Report Relating to the Use of Form PF Data(PDF)
Investment Management 		Category: Special Studies
Date: Title: DOJ Press Release: Pennsylvania Man Pleads Guilty to International Email Impersonation and Fraud Scam
Inspector General 		Category:
Date: Title: Semiannual Report to Congress: April 1, 2018, through September 30, 2018(PDF)
Inspector General 		Category:
Date: Title: Inspector General's FY 2018 Letter to OMB on SEC's Implementation of Purchase Card Program Audit Recommendations(PDF)
Acquisitions
Inspector General 		Category:
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: The Inspector General’s Statement on the SEC’s Management and Performance Challenges, October 2018(PDF)
Inspector General 		Category:
Date: Title: DOJ Press Release: Former Auditor Sentenced For Submitting Fraudulently Backdated Documents To The Securities And Exchange Commission
Inspector General 		Category:
Date: Title: TCP Established Method To Effectively Oversee Entity Compliance With Regulation SCI But Could Improve Aspects of Program Management, Report No. 551(PDF)
Compliance Inspections and Examinations
Inspector General 		Category:
Date: Title: Evaluation of the EDGAR System’s Governance and Incident Handling Processes, Report No. 550(PDF)
Inspector General 		Category:
Date: Title: The SEC Made Progress But Work Remains To Address Human Capital Management Challenges and Align With the Human Capital Framework, Report No. 549(PDF)
Human Resources
Inspector General 		Category:
Date: Title: The SEC Should Take Action to Strengthen Its Management of Electronic Information Sources, Data Sources, and Print Materials, Report No. 548(PDF)
Acquisitions
Inspector General 		Category:
Date: Title: External Peer Review Report on U.S. Securities and Exchange Commission Office of Inspector General Audit Organization(PDF)
Inspector General 		Category:
Date: Title: Select SEC and Market Data 2017(PDF)
Category: Select SEC and Market Data
Date: Title: DOJ Press Release: Dominican National Sentenced for International E-Mail Impersonation and Fraud Scam
Inspector General 		Category:
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: Audit of the SEC’s Internal Controls for Retaining External Experts and Foreign Counsel for the Division of Enforcement, Report No. 547(PDF)
Inspector General 		Category:
Date: Title: 2017 Report and Certification of Internal Supervisory Controls(PDF)
Compliance Inspections and Examinations
Corporation Finance
Credit Ratings
Enforcement 		Category: Internal Supervisory Controls
Date: Title: Semiannual Management Report (May 2018)(PDF)
Category:
Date: Title: Introduction to 529 Plans
 Category: Investor Publications
Date: Title: Semiannual Report to Congress: October 1, 2017, through March 31, 2018(PDF)
Inspector General 		Category:
Date: Title: Report on Administrative Proceedings for the Period October 1, 2017, through March 31, 2018(PDF)
Secretary 		Category: Special Studies
Date: Title: Audit of the SEC’s Compliance With the Federal Information Security Modernization Act for Fiscal Year 2017, Report No. 546(PDF)
Inspector General 		Category:
Date: Title: Results of the Inspector General’s Fiscal Year 2017 Purchase Card Program Risk Assessment(PDF)
Inspector General 		Category:
Date: Title: Inspector General’s Report on the U.S. Securities and Exchange Commission’s Fiscal Year 2017 Compliance with the Improper Payments Information Act(PDF)
Inspector General 		Category:
Date: Title: Investment Clubs and the SEC
 Category: Investor Publications
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: Semiannual Report to Congress April 1, 2017 to September 30, 2017(PDF)
Inspector General 		Category:
Date: Title: Inspector General's FY 2017 Letter to OMB on SEC's Implementation of Purchase Card Program Audit Recommendations(PDF)
Inspector General 		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: Audit of the SEC’s Compliance with the Digital Accountability and Transparency Act for Fiscal Year 2017, Report No. 545(PDF)
Inspector General 		Category:
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: The Inspector General’s Statement on the SEC’s Management and Performance Challenges, October 2017(PDF)
Inspector General 		Category:
Date: Title: Audit of the SEC’s Management of Its Data Centers, Report No. 543(PDF)
Inspector General 		Category:
Date: Title: Audit of the SEC’s Progress in Enhancing and Redesigning the Electronic Data Gathering, Analysis, and Retrieval System, Report No. 544(PDF)
Inspector General 		Category:
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: Evaluation of the Division of Corporation Finance’s Disclosure Review and Comment Letter Process, Report 542(PDF)
Inspector General 		Category:
Date: Title: FAIR Inventory 2017(PDF)
Category: FAIR Act
Date: Title: Review of Certain Actions Taken by Commissioner Michael Piwowar as Acting Chairman(PDF)
Inspector General 		Category:
Date: Title: Access to Capital and Market Liquidity(PDF)
Economic and Risk Analysis 		Category: Special Studies
Date: Title: Audit of the Office of Compliance Inspections and Examinations' Investment Adviser Examination Completion Process, Report No. 541(PDF)
Inspector General 		Category:
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)
Compliance Inspections and Examinations
Corporation Finance
Credit Ratings
Enforcement 		Category: Internal Supervisory Controls
Date: Title: Final Management Letter: Progress on the SEC’s Tips, Complaints, and Referrals Intake and Resolution System Redesign and Vulnerability Remediation Efforts(PDF)
Inspector General 		Category:
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: Semiannual Report to Congress: October 1, 2016, through March 31, 2017(PDF)
Inspector General 		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: 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 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: 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
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