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SEC 1999 Annual ReportPDF VersionThe 1999 Annual Report of the U.S. Securities and Exchange Commission is currently available in PDF (Adobe Acrobat) format. An HTML version will follow. The PDF version does not include pages that were intentionally left blank in the print version. It also omits a few items from the Appendices. Complete ReportThis is a single large PDF file. View the 1999 Annual Report (PDF file: 1.14 MB) Report by SectionsFront Matter (letter of transmittal; Commission members and principal officers; biographies; office addresses) Investor Education and Assistance Regulation of Securities Markets Investment Management Regulation Compliance Inspections and Examinations Accounting and Auditing Matters Other Litigation and Legal Activity Municipal Securities Initiatives Economic Research and Analysis Policy Management and Administrative Support Appendix Tables 1 – 7 and 9 (Enforcement Cases Initiated; Enforcement Cases by Program Area; Investigations of Possible Violations of the Acts; Administrative Proceedings; Injunctive Actions; Types of Proceedings; SRO data) Appendix Tables 10 – 15 and 18 – 25 (Certificate of Immobilization; Exemptions; Corporate Reorganizations; The Securities Industry; Broker-Dealer data; Carrying and Clearing Firms; Securities Traded on Exchanges; Appropriated Funds vs Fees Collected; Budget Estimates and Appropriations) http://www.sec.gov/about/annrep99.shtml
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