Recent Reports
- Evaluation of the SEC's Whistleblower Program, Report No. 511
- OIG Fall 2012 Final Report to Congress
- Investigation Into Misuse of Resources and Violations of Information Technology Security Policies Within the Division of Trading and Markets, OIG-557
- SEC's Records Management Practices, Report No. 505
- The Office of International Affairs Internal Operations and Travel Oversight, Report No. 508
- 2012 Semiannual Report to Congress
- Review of the SEC’s Continuity of Operations Program, Report No. 502
- SEC's Use of Justifications and Approvals in Sole-Source Contractings, Report No. 507
- SEC's Controls Over Government Furnished Equipment and Contractor Acquired Property, Report No. 503
- Assessment of SEC's System and Network Logs, Report No. 500
- 2011 Annual FISMA Executive Summary Report, Report No. 501
- Follow-Up Review of Cost-Benefit Analyses in Selected SEC Dodd-Frank Act Rulemakings, Report No. 499
- SEC OIG Press Release Announcing Settlement of Civil Charges Against Former Head of SEC Fort Worth Enforcement Program
- 2011 Semiannual Report to Congress
- Destruction of Records Related to Matters Under Inquiry and Incomplete Statements to the National Archives and Records Administration Regarding that Destruction by the Division of Enforcement, OIG-567
- Allegations of Enforcement Staff Misconduct in Insider Trading Investigation, OIG-511
- Assessment of the Office of Investor Education and Advocacy’s Functions, Report No. 498
- Excessive Payment of Living Expenses in Contravention of OPM Guidance for a Headquarters Senior Official, OIG-561
- Review of Alternative Work Arrangements, Overtime Compensation, and COOP-Related Activities at the SEC, Report No. 491
- Inspector General’s Testimony before the Subcommittee on Oversight and Investigations, Committee on Financial Services, and the Subcommittee on TARP, Financial Services and Bailouts of Public and Private Programs, Committee on Oversight and Government Reform, U.S. House of Representatives, September 22, 2011
- Investigation of Conflict of Interest Arising from Former General Counsel’s Participation in Madoff-Related Matters, OIG-560
- Assessment of SEC’s Continuous Monitoring Program, Report No. 497
- Inspector General’s Testimony before the Federal Financial Management, Government Information, Federal Services, and International Security Subcommittee of the U.S. Senate Committee on Homeland Security and Government Affairs
- Audit of SEC’s Employee Recognition Program and Recruitment, Relocation, and Retention Incentives, Report No. 492
- Annual Report of the Council of Inspectors General on Financial Oversight, July 2011
- Review of SEC Contracts for Inclusion of Language Addressing Privacy Act Requirements, Report No. 496
- Oversight of and Compliance with Conditions and Representations Related to Exemptive Orders and No-Action Letters, Report No. 482
- Inspector General’s Testimony before the Subcommittee on Economic Development, Public Buildings and Emergency Management, U.S. House of Representatives
- Establishment of the Office of Minority and Women Inclusion
- Report of Review of Economic Analysis Performed by the Securities and Exchange Commission in Connection with Dodd-Frank Act Rulemakings
- Improper Actions Relating to the Leasing of Office Space, OIG-553
- Inspector General’s Testimony before the Subcommittee on Oversight and Investigations, Committee on Financial Services, U.S. House of Representatives, May 13, 2011
- The SEC’s Implementation of and Compliance with Homeland Security Presidential Directive 12, Report No. 481
- SEC’s Oversight of the Securities Investor Protection Corporation’s Activities, Report No. 495
- OCIE Regional Offices’ Referrals to Enforcement, Report No. 493
- Audit of the SEC Budget Execution Cycle, Report No. 488
- DOJ Press Release Announcing Indictment Based on False Applications to Federal Agencies, Including the SEC
- 2010 Annual FISMA Executive Summary Report, Report No. 489
- Inspector General’s Testimony before the Subcommittee on Financial Services and General Government, Committee on Appropriations, U.S. House of Representatives
- Investigation of the Failure of the SEC's Los Angeles Regional Office to Uncover Fraud in Westridge Capital Management Notwithstanding Investment Adviser Examination Conducted in 2005 and Inappropriate Conduct on the Part of Senior Los Angeles Official
- Review of Select Time-and-Materials and Labor-Hour Contracts (PDF)
Introduction
The Office of Inspector General (OIG) is an independent office within the U.S. Securities and Exchange Commission (SEC or Commission) that conducts audits of programs and operations of the Commission and investigations into allegations of misconduct by staff or contractors. The mission of the OIG is to detect fraud, waste and abuse, and to promote integrity, economy, efficiency and effectiveness, in the Commission’s programs and operations.
The Office of the Inspector General includes the Inspector General, the Deputy Inspector General, the Counsel to the Inspector General, and two major components: the Office of Audits and the Office of Investigations.
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