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Inspector General's FY 2019 Letter to OMB on SEC's Implementation of Purchase Card Program Audit Recommendations

Report Date: 12/19/2019

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Other

Country: Agency-Wide

Fiscal Year 2019 Independent Evaluation of SEC’s Implementation of the Federal Information Security Modernization Act of 2014, Report No. 558

Report Date: 12/18/2019

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Inspection / Evaluation

Country: Agency-Wide

Final Management Letter: Evaluation of the U.S. Securities and Exchange Commission’s Delinquent Filings Program

Report Date: 12/17/2019

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Inspection / Evaluation

Country: Agency-Wide

Semiannual Report: April 1, 2019 to September 30, 2019

Report Date: 12/2/2019

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Semiannual Report

Country: Agency-Wide

The SEC Can More Strategically and Securely Plan, Manage, and Implement Cloud Computing Services, Report No. 556

Report Date: 11/7/2019

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Audit

Country: Agency-Wide

Audit of the SEC’s Compliance With the Digital Accountability and Transparency Act for Fiscal Year 2019, Report No. 557

Report Date: 11/4/2019

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Audit

Country: Agency-Wide

DOJ Press Release: Biotech Company CEO Convicted of Securities Fraud and Obstruction

Report Date: 10/28/2019

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Investigation

Country: Agency-Wide

The Inspector General’s Statement on the SEC’s Management and Performance Challenges, October 2019

Report Date: 10/7/2019

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Top Management Challenges

Country: Agency-Wide

SEC OIG Strategic Plan for Fiscal Years 2019 - 2024

Report Date: 9/30/2019

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Other

Country: Agency-Wide

The SEC Has Processes to Manage Information Technology Investments But Improvements Are Needed, Report No. 555

Report Date: 9/19/2019

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Audit

Country: Agency-Wide

The SEC Can Better Manage Administrative Aspects of the ISS Contract, Report No. 554

Report Date: 5/31/2019

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Audit

Country: Agency-Wide

Semiannual Report to Congress October 1, 2018 to March 31, 2019

Report Date: 5/31/2019

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Semiannual Report

Country: Agency-Wide

Final Management Letter: Update on the SEC’s Progress Toward Redesigning the Electronic Data Gathering, Analysis, and Retrieval System

Report Date: 5/23/2019

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Other

Country: Agency-Wide

Although Highly Valued by End Users, DERA Could Improve Its Analytics Support by Formally Measuring Impact, Where Possible, Report No. 553

Report Date: 4/29/2019

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Audit

Country: Agency-Wide

DOJ Press Release: Owner of South Bay Law Firm and Office Manager Charged with Committing Large-Scale Immigration Visa Fraud

Report Date: 3/26/2019

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Investigation

Country: Agency-Wide

Results of the Inspector General’s Fiscal Year 2018 Purchase Card Program Risk Assessment

Report Date: 3/4/2019

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Audit

Country: Agency-Wide

The SEC’s Compliance with Improper Payments Requirements for Fiscal Year 2018

Report Date: 2/14/2019

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Audit

Country: Agency-Wide

DOJ Press Release: Biotech Company Employee Pleads Guilty to Securities Fraud Charges

Report Date: 2/8/2019

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Investigation

Country: Agency-Wide

Fiscal Year 2018 Independent Evaluation of SEC’s Implementation of the Federal Information Security Modernization Act of 2014, Report No. 552

Report Date: 12/17/2018

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Inspection / Evaluation

Country: Agency-Wide

Inspector General's FY 2018 Letter to OMB on SEC's Implementation of Purchase Card Program Audit Recommendations

Report Date: 11/27/2018

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Other

Country: Agency-Wide

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