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SEC Special Studies
The Commission or Commission staff often undertake special projects to study and report on current trends and issues facing the securities industry. These files will be updated on a periodic basis.
Studies currently available include:
Additional Archives
2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996 | 1995 | 1994
Date |
Study |
Dec. 18, 2012 |
Assigned Credit Ratings |
Nov. 30, 2012 |
Response to Questions Posed by Commissioners Aguilar, Paredes, and Gallagher
Comments received are available.
Submit Comments on Money Market Fund Response |
Nov. 15, 2012 |
2012 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization |
Oct. 25, 2012 |
Report on Administrative Proceedings for the Period April 1, 2012 through September 30, 2012 |
Oct. 17, 2012 |
Third Report on the Implementation of SEC Organizational Reform Recommendations |
Oct. 16, 2012 |
JOBS Act Section 504 Report on Authority to Enforce Exchange Act Rule 12g5-1 and Subsection (b)(3) |
Sep. 7, 2012 |
Report on Credit Rating Standardization |
Aug. 30, 2012 |
SEC Staff Study Regarding Financial
Literacy Among Investors
Supporting Documents:
Library of Congress Report on Financial
Literacy
Investor Research Report
Appendix to Investor Research
Report
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Jul. 31, 2012 |
Report on the Municipal Securities Market |
Jul. 20, 2012 |
JOBS Act Section 106 Report to Congress on Decimalization |
Apr. 30, 2012 |
Report on Administrative Proceedings for the Period October 1, 2011 through March 31, 2012 |
Apr. 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
See Also: Statement by Commissioner Luis A. Aguilar; Data Sets Utilized for the Study |
Apr. 10, 2012 |
Office of Minority and Women Inclusion Annual Report |
Mar. 30, 2012 |
Report on the Implementation of SEC Organizational Reform Recommendations |
Feb. 1, 2012 |
Joint Report on International Swap Regulation (SEC and CFTC) |
http://www.sec.gov/news/studies.shtml
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