Date: Dec. 9, 2020
Title:
Semiannual Management Report (November 2020)(PDF)
Category:
Date: Nov. 16, 2020
Title:
2020 Agency Financial Report
Category: Annual Reports
Date: Nov. 16, 2020
Title:
SEC FY 2020 Conference Spending(PDF)
Financial Management
Category: Conference Spending
Date: Nov. 3, 2020
Title:
Annual Staff Report Relating to the Use of Form PF Data(PDF)
Category: Special Studies
Date: Nov. 2, 2020
Title:
Division of Enforcement 2020 Annual Report(PDF)
Enforcement
Category: Annual Reports
Date: Oct. 30, 2020
Title:
Report on Administrative Proceedings for the Period April 1, 2020 through September 30, 2020(PDF)
Secretary
Category: Special Studies
Date: Oct. 29, 2020
Title:
FY 2016 Service Contract Inventory Analysis(PDF)
Category: Service Contract Inventory
Date: Oct. 29, 2020
Title:
FY 2016 Service Contract Inventory with Planned Analysis of FY 2017 Inventory(PDF)
Category: Service Contract Inventory
Date: Oct. 29, 2020
Title:
FY 2017 Service Contract Inventory Analysis(PDF)
Category: Service Contract Inventory
Date: Oct. 29, 2020
Title:
Planned Analysis of FY 2018 Inventory(PDF)
Category: Service Contract Inventory
Date: Oct. 5, 2020
Title:
U.S. Credit Markets Interconnectedness and the Effects of the COVID-19 Economic Shock
Economic and Risk Analysis
Category:
Date: Oct. 1, 2020
Title:
Staff Report on the Regulation of Clearing Agencies(PDF)
Trading and Markets
Category:
Date: Aug. 26, 2020
Title:
Report to Congress on Regulation A / Regulation D Performance(PDF)
Economic and Risk Analysis
Category:
Date: Aug. 19, 2020
Title:
Staff Report on Algorithmic Trading in U.S. Capital Markets(PDF)
Trading and Markets
Category: Special Studies
Date: July 30, 2020
Title:
Annual Equal Employment Opportunity Program Status Report 2018 (PDF) Equal Employment Opportunity(PDF)
Equal Employment Opportunity
Category:
Date: July 23, 2020
Title:
FAIR Inventory 2020(PDF)
Category: FAIR Act
Date: July 6, 2020
Title:
Annual Equal Employment Opportunity Program Status Report 2017 (PDF) Equal Employment Opportunity(PDF)
Equal Employment Opportunity
Category:
Date: June 29, 2020
Title:
Office of the Investor Advocate Report on Objectives for Fiscal Year 2021(PDF)
Investor Advocate
Category: Annual Reports
Date: June 1, 2020
Title:
Semiannual Management Report (May 2020)(PDF)
Category:
Date: May 1, 2020
Title:
SEC OMWI FY 2019 Annual Report to Congress(PDF)
Minority and Women Inclusion
Category: Annual Reports
Date: April 30, 2020
Title:
Report on Administrative Proceedings For the Period October 1, 2019 through March 31, 2020(PDF)
Secretary
Category: Special Studies
Date: March 13, 2020
Title:
Annual Reports to Congress
Minority and Women Inclusion
Category:
Date: March 4, 2020
Title:
Regulation A Lookback Study and Offering Limit Review Analysis, 2020(PDF)
Corporation Finance
Category:
Date: Feb. 10, 2020
Title:
Fiscal Year 2021 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2019 Annual Performance Report
Category: Budget Reports
Date: Jan. 31, 2020
Title:
SEC FY 2019 Conference Spending (PDF)
Financial Management
Category: Conference Spending
Date: Jan. 28, 2020
Title:
Federal Employee Viewpoint Survey 2019(XLSX)
Category: Federal Employee Viewpoint Survey
Date: Jan. 24, 2020
Title:
2019 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization(PDF)
Credit Ratings
Category: Annual Reports
Date: Jan. 24, 2020
Title:
Annual Report to Congress on Nationally Recognized Statistical Rating Organizations - June 26, 2018 - June 25, 2019 (PDF)
Credit Ratings
Category: Annual Reports
Date: Jan. 22, 2020
Title:
Annual Report on Existing SEC Websites and Digital Services Pursuant to Section 3 of the 21st Century Integrated Digital Experience Act(PDF)
Category:
Date: Jan. 7, 2020
Title:
Semiannual Management Report (November 2019)(PDF)
Category:
Date: Dec. 30, 2019
Title:
Annual Staff Report Relating to the Use of Form PF Data(PDF)
Category: Special Studies
Date: Dec. 19, 2019
Title:
Office of the Investor Advocate Report on Activities for FY 2019(PDF)
Investor Advocate
Category: Annual Reports
Date: Dec. 19, 2019
Title:
2019 OASB Final Report(PDF)
Advocate for Small Business Capital Formation
Category: Annual Reports
Date: Nov. 15, 2019
Title:
2019 Annual Report to Congress on the Dodd-Frank Whistleblower Program(PDF)
Whistleblower
Category: Annual Reports
Date: Nov. 15, 2019
Title:
Fiscal Year 2019 Agency Financial Report
Category: Annual Reports
Date: Nov. 6, 2019
Title:
Division of Enforcement 2019 Annual Report(PDF)
Enforcement
Category: Annual Reports
Date: Oct. 31, 2019
Title:
Report on Administrative Proceedings For the Period April 1, 2019 through September 30, 2019(PDF)
Secretary
Category: Special Studies
Date: June 27, 2019
Title:
Office of the Investor Advocate Report on Objectives for Fiscal Year 2020(PDF)
Investor Advocate
Category: Annual Reports
Date: June 21, 2019
Title:
FAIR Inventory 2019(PDF)
Category: FAIR Act
Date: June 21, 2019
Title:
FAIR Inventory 2018(PDF)
Category: FAIR Act
Date: June 17, 2019
Title:
Regulation Crowdfunding Report 2019(PDF)
Corporation Finance
Category:
Date: June 6, 2019
Title:
SEC OMWI FY 2018 Annual Report to Congress(PDF)
Minority and Women Inclusion
Category: Annual Reports
Date: April 30, 2019
Title:
Report on Administrative Proceedings For the Period October 1, 2018 through March 31, 2019(PDF)
Secretary
Category: Special Studies
Date: March 18, 2019
Title:
Fiscal Year 2020 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2018 Annual Performance Report
Category: Budget Reports
Date: Feb. 8, 2019
Title:
Federal Employee Viewpoint Survey 2018(XLSX)
Category: Federal Employee Viewpoint Survey
Date: Jan. 30, 2019
Title:
SEC FY 2018 Conference Spending (PDF)
Financial Management
Category: Conference Spending
Date: Dec. 20, 2018
Title:
Office of the Investor Advocate FY 2018 Report on Activities(PDF)
Investor Advocate
Category: Annual Reports
Date: Dec. 18, 2018
Title:
Annual Report to Congress on Nationally Recognized Statistical Rating Organization - June 26, 2017 - June 25, 2018 (PDF)
Credit Ratings
Category: Annual Reports
Date: Dec. 18, 2018
Title:
2018 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization(PDF)
Credit Ratings
Category: Special Studies
Date: Dec. 14, 2018
Title:
Annual Staff Report Relating to the Use of Form PF Data(PDF)
Investment Management
Category: Special Studies
Date: Nov. 15, 2018
Title:
Fiscal Year 2018 Agency Financial Report
Category: Annual Reports
Date: Nov. 14, 2018
Title:
2018 Annual Report to Congress on the Dodd-Frank Whistleblower Program(PDF)
Whistleblower
Category: Annual Reports
Date: Nov. 2, 2018
Title:
Division of Enforcement 2018 Annual Report(PDF)
Enforcement
Category: Annual Reports
Date: Oct. 31, 2018
Title:
Report on Administrative Proceedings For the Period April 1, 2018 through September 30, 2018 (PDF)
Secretary
Category: Special Studies
Date: Oct. 11, 2018
Title:
2018-2022 Strategic Plan(PDF)
Category: Strategic Plan
Date: Sept. 4, 2018
Title:
Select SEC and Market Data 2017(PDF)
Category: Select SEC and Market Data
Date: June 29, 2018
Title:
Office of the Investor Advocate Report on Objectives for Fiscal Year 2019(PDF)
Investor Advocate
Category: Annual Reports
Date: June 19, 2018
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: June 12, 2018
Title:
2017 Report and Certification of Internal Supervisory Controls(PDF)
Category: Internal Supervisory Controls
Date: June 7, 2018
Title:
Semiannual Management Report (May 2018)(PDF)
Category:
Date: April 30, 2018
Title:
Report on Administrative Proceedings for the Period October 1, 2017, through March 31, 2018(PDF)
Secretary
Category: Special Studies
Date: March 30, 2018
Title:
SEC OMWI FY 2017 Annual Report to Congress(PDF)
Minority and Women Inclusion
Category: Annual Reports
Date: Feb. 12, 2018
Title:
Fiscal Year 2019 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2017 Annual Performance Report
Category: Budget Reports
Date: Dec. 21, 2017
Title:
SEC FY 2017 Conference Spending (PDF)
Financial Management
Category: Conference Spending
Date: Dec. 20, 2017
Title:
Office of the Investor Advocate FY 2017 Report on Activities(PDF)
Investor Advocate
Category: Annual Reports
Date: Dec. 4, 2017
Title:
Semiannual Management Report (November 2017)(PDF)
Category:
Date: Nov. 15, 2017
Title:
2017 Annual Report to Congress on the Dodd-Frank Whistleblower Program(PDF)
Whistleblower
Category: Annual Reports
Date: Nov. 15, 2017
Title:
Division of Enforcement 2017 Annual Report(PDF)
Enforcement
Category:
Date: Nov. 15, 2017
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: Nov. 14, 2017
Title:
Fiscal Year 2017 Agency Financial Report
Category: Annual Reports
Date: Nov. 1, 2017
Title:
Federal Employee Viewpoint Survey 2017(XLSX)
Category: Federal Employee Viewpoint Survey
Date: Oct. 31, 2017
Title:
Report on Administrative Proceedings for the Period April 1, 2017 through September 30, 2017(PDF)
Secretary
Category: Special Studies
Date: Oct. 16, 2017
Title:
Annual Staff Report Relating to the Use of Form PF Data(PDF)
Investment Management
Category: Special Studies
Date: Sept. 27, 2017
Title:
Annual Equal Employment Opportunity Program Status Report 2016 (PDF) Equal Employment Opportunity(PDF)
Equal Employment Opportunity
Category:
Date: Sept. 22, 2017
Title:
FY 2015 Service Contract Inventory Analysis(PDF)
Category: Service Contract Inventory
Date: Sept. 22, 2017
Title:
Planned Analysis of FY 2016 Inventory(PDF)
Category: Service Contract Inventory
Date: Sept. 11, 2017
Title:
FAIR Inventory 2017(PDF)
Category: FAIR Act
Date: Aug. 8, 2017
Title:
Access to Capital and Market Liquidity(PDF)
Economic and Risk Analysis
Category: Special Studies
Date: June 29, 2017
Title:
Office of the Investor Advocate Report on Objectives for Fiscal Year 2018(PDF)
Investor Advocate
Category: Annual Reports
Date: June 5, 2017
Title:
2016 Report and Certification(PDF)
Category: Internal Supervisory Controls
Date: May 23, 2017
Title:
Fiscal Year 2018 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2016 Annual Performance Report
Category: Budget Reports
Date: May 18, 2017
Title:
Semiannual Management Report (May 2017)(PDF)
Category:
Date: April 28, 2017
Title:
Report on Administrative Proceedings for the Period October 1, 2016 through March 31, 2017 (PDF)
Secretary
Category: Special Studies
Date: March 30, 2017
Title:
SEC OMWI FY 2016 Annual Report to Congress(PDF)
Minority and Women Inclusion
Category: Annual Reports
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. 5, 2017
Title:
SEC FY 2016 Conference Spending(PDF)
Category: Conference Spending
Date: Dec. 21, 2016
Title:
Annual Report to Congress on Nationally Recognized Statistical Rating Organizations - June 26, 2015 – June 25, 2016 (PDF)
Credit Ratings
Category: Annual Reports
Date: Dec. 21, 2016
Title:
2016 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization(PDF)
Credit Ratings
Category: Special Studies
Date: Dec. 21, 2016
Title:
Office of the Investor Advocate FY 2016 Report on Activities(PDF)
Investor Advocate
Category: Annual Reports
Date: Dec. 1, 2016
Title:
Semiannual Management Report (November 2016)(PDF)
Category:
Date: Nov. 23, 2016
Title:
Report on Modernization and Simplification of Regulation S-K (PDF)
Category:
Date: Nov. 15, 2016
Title:
2016 Annual Report to Congress on the Dodd-Frank Whistleblower Program(PDF)
Whistleblower
Category: Annual Reports
Date: Nov. 15, 2016
Title:
Fiscal Year 2016 Agency Financial Report
Category: Annual Reports
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: Sept. 8, 2016
Title:
FAIR Inventory 2016(PDF)
Category: FAIR Act
Date: Sept. 8, 2016
Title:
FAIR Act 2015 Inventory(PDF)
Category: FAIR Act
Date: Aug. 30, 2016
Title:
Commission Releases
Credit Ratings
Category:
Date: Aug. 23, 2016
Title:
Annual Staff Report Relating to the Use of Data Collected from Private Fund Systemic Risk Reports(PDF)
Investment Management
Category: Special Studies