12.2009 The SEC posted a 27-page document titled Select SEC and Market Data Fiscal 2009, which covers the following topics:

  • Enforcement Milestones
  • Enforcement Action Summary by Primary Classification and Cases by Program Area
  • Investigations of Possible Violations
  • Right to Financial Privacy
  • SEC Total Investor Contacts
  • Ten Most Common Complaints
  • Financial Information for Broker-Dealers
    • Unconsolidated Financial Information
    • Unconsolidated Annual Revenues and Expenses
    • Unconsolidated Balance Sheet
    • Unconsolidated Revenues and Expenses for Carrying/Clearing Broker-Dealers
    • Unconsolidated Balance Sheet for Carrying/Clearing Broker-Dealers
  • Transaction Activity in Equities, Options, and Security Futures

Click http://www.sec.gov/about/secstats2009.pdf to access the document.