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The Inspector General’s Statement on the SEC’s Management and Performance Challenges, October 2018

Report Date: 10/5/2018

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Top Management Challenges

Country: Agency-Wide

TCP Established Method To Effectively Oversee Entity Compliance With Regulation SCI But Could Improve Aspects of Program Management, Report No. 551

Report Date: 9/24/2018

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Audit

Country: Agency-Wide

Evaluation of the EDGAR System’s Governance and Incident Handling Processes, Report No. 550

Report Date: 9/21/2018

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Audit

Country: Agency-Wide

The SEC Made Progress But Work Remains To Address Human Capital Management Challenges and Align With the Human Capital Framework, Report No. 549

Report Date: 9/11/2018

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Audit

Country: Agency-Wide

The SEC Should Take Action to Strengthen Its Management of Electronic Information Sources, Data Sources, and Print Materials, Report No. 548

Report Date: 9/11/2018

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Audit

Country: Agency-Wide

External Peer Review Report on U.S. Securities and Exchange Commission Office of Inspector General Audit Organization

Report Date: 9/5/2018

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Other

Country: Agency-Wide

Audit of the SEC’s Internal Controls for Retaining External Experts and Foreign Counsel for the Division of Enforcement, Report No. 547

Report Date: 6/15/2018

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Audit

Country: Agency-Wide

Semiannual Report to Congress October 1, 2017 to March 31, 2018

Report Date: 5/25/2018

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Semiannual Report

Country: Agency-Wide

Audit of the SEC’s Compliance With the Federal Information Security Modernization Act for Fiscal Year 2017, Report No. 546

Report Date: 3/30/2018

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Audit

Country: Agency-Wide

Results of the Inspector General’s Fiscal Year 2017 Purchase Card Program Risk Assessment

Report Date: 3/28/2018

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Audit

Country: Agency-Wide

Inspector General’s Report on the U.S. Securities and Exchange Commission’s Fiscal Year 2017 Compliance with the Improper Payments Information Act

Report Date: 3/23/2018

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Audit

Country: Agency-Wide

Semiannual Report to Congress April 1, 2017 to September 30, 2017

Report Date: 12/1/2017

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Semiannual Report

Country: Agency-Wide

Inspector General's FY 2017 Letter to OMB on SEC's Implementation of Purchase Card Program Audit Recommendations

Report Date: 11/28/2017

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Other

Country: Agency-Wide

Audit of the SEC’s Compliance with the Digital Accountability and Transparency Act for Fiscal Year 2017, Report No. 545

Report Date: 11/7/2017

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Audit

Country: Agency-Wide

The Inspector General’s Statement on the SEC’s Management and Performance Challenges, October 2017

Report Date: 10/5/2017

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Top Management Challenges

Country: Agency-Wide

Audit of the SEC’s Management of Its Data Centers, Report No. 543

Report Date: 9/29/2017

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Audit

Country: Agency-Wide

Audit of the SEC’s Progress in Enhancing and Redesigning the Electronic Data Gathering, Analysis, and Retrieval System, Report No. 544

Report Date: 9/28/2017

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Audit

Country: Agency-Wide

Evaluation of the Division of Corporation Finance’s Disclosure Review and Comment Letter Process, Report 542

Report Date: 9/13/2017

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Inspection / Evaluation

Country: Agency-Wide

Review of Certain Actions Taken by Commissioner Michael Piwowar as Acting Chairman

Report Date: 8/24/2017

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Other

Country: Agency-Wide

Audit of the Office of Compliance Inspections and Examinations’ Investment Adviser Examination Completion Process, Report No. 541

Report Date: 7/21/2017

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Audit

Country: Agency-Wide

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