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The SEC Has Taken Steps to Strengthen Its Monitoring of ISS Contractor’s Performance, But Additional Actions Are Needed, Report No. 565

Report Date: 2/24/2021

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Audit

Country: Agency-Wide

The SEC Can Further Strengthen the Tips, Complaints, and Referrals Program, Report No. 566

Report Date: 2/24/2021

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Audit

Country: Agency-Wide

SEC OIG 2020 FEVS Announcement

Report Date: 2/17/2021

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Other

Country: Agency-Wide

Inspector General's FY2020 Letter to OMB on SEC's Implementation of Purchase Card Program Audit Recommendations

Report Date: 1/26/2021

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Audit

Country: Agency-Wide

The SEC's OIEA Could Benefit From Increased Coordination, Additional Performance Metrics, and Formal Strategic Planning, Report No. 564

Report Date: 1/13/2021

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Audit

Country: Agency-Wide

Fiscal Year 2020 Independent Evaluation of SEC's Implementation of the Federal Information Security Modernization Act of 2014, Report No. 563

Report Date: 12/21/2020

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Inspection / Evaluation

Country: Agency-Wide

DOJ Press Release: Licensed Attorney And Disbarred Attorney Charged With Securities Fraud For Roles In Fraudulent Opinion Letter Scheme

Report Date: 12/2/2020

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Other

Country: Agency-Wide

Semiannual Report to Congress: April 1, 2020, through September 30, 2020

Report Date: 11/25/2020

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Semiannual Report

Country: Agency-Wide

External Peer Review Report for the SEC OIG Inspection and Evaluation Function

Report Date: 10/20/2020

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Other

Country: Agency-Wide

The Inspector General’s Statement on the SEC’s Management and Performance Challenges, October 2020

Report Date: 10/8/2020

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Top Management Challenges

Country: Agency-Wide

Opportunities Exist To Improve the SEC’s Management of Mobile Devices and Services, Report No. 562

Report Date: 9/30/2020

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Audit

Country: Agency-Wide

SEC Press Release: SEC Proposes Amendments to Update Form 13F for Institutional Investment Managers; Amend Reporting Threshold to Reflect Today’s Equities Markets

Report Date: 7/10/2020

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Other

Country: Agency-Wide

SEC Press Release: SEC Updates Filing Threshold to Rule 17h Reporting Requirements for Broker-Dealers

Report Date: 6/29/2020

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Other

Country: Agency-Wide

Semiannual Report to Congress: October 1, 2019, through March 31, 2020

Report Date: 5/29/2020

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Semiannual Report

Country: Agency-Wide

Evaluation of the SEC’s FY 2019 Compliance with the Improper Payments Elimination and Recovery Act of 2010, Report No. 561

Report Date: 4/27/2020

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Audit

Country: Agency-Wide

United States Attorney for the District of Columbia Timothy J. Shea Announces Launch of Metropolitan Area COVID-19 Anti-Fraud Task Force

Report Date: 4/2/2020

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Investigation

Country: Agency-Wide

Results of the Inspector General’s Fiscal Year 2019 Purchase Card Program Risk Assessment

Report Date: 3/31/2020

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Audit

Country: Agency-Wide

Controls Over the SEC’s Travel Charge Card Program Could Be Strengthened To More Fully Comply With Requirements and Maximize Benefits, Report No. 560

Report Date: 3/30/2020

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Audit

Country: Agency-Wide

Biotech Officer Sentenced for Securities Fraud and Obstruction of SEC Proceeding

Report Date: 2/28/2020

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Investigation

Country: Agency-Wide

The SEC’s Office of Broker-Dealer Finances Provides Effective Oversight, But Opportunities to Improve Efficiency Exist, Report No. 559

Report Date: 2/26/2020

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Inspection / Evaluation

Country: Agency-Wide

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