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Final Management Letter: Progress on the SEC’s Tips, Complaints, and Referrals Intake and Resolution System Redesign and Vulnerability Remediation Efforts

Report Date: 5/31/2017

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Other

Country: Agency-Wide

DOJ Press Release: Virginia Man Arrested And Charged In Manhattan Federal Court With $100 Million Market Manipulation Scheme Involving Fitbit Stock

Report Date: 5/19/2017

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Other

Country: Agency-Wide

DOJ Press Release: Former SEC Employee Pleads Guilty to Making False Statements Designed to Conceal Prohibited Trading

Report Date: 5/9/2017

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Other

Country: Agency-Wide

Semiannual Report to Congress October 1, 2016 to March 31, 2017

Report Date: 5/5/2017

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Semiannual Report

Country: Agency-Wide

DOJ Press Release: Connecticut Financial Advisor Sentenced for Obstructing SEC Investigation

Report Date: 4/20/2017

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Other

Country: Agency-Wide

Results of Inspector General's Fiscal Year 2016 Purchase Card Program Risk Assessment

Report Date: 3/27/2017

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Other

Country: Agency-Wide

Audit of the Division of Corporation Finance’s Management of Requests for No-Action and Interpretive Letters, Exemptions, and Waivers, Report No. 540

Report Date: 3/27/2017

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Audit

Country: Agency-Wide

Inspector General's Review of the SEC's FY 2016 Compliance with the Improper Payments Information Act

Report Date: 3/22/2017

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Review

Country: Agency-Wide

Audit of the SEC’s Compliance with the Federal Information Security Modernization Act for Fiscal Year 2016, Report No. 539

Report Date: 3/7/2017

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Audit

Country: Agency-Wide

Inspector General's FY 2016 Letter to OMB on SEC's Implementation of Purchase Card Program Audit Recommendations

Report Date: 1/11/2017

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Other

Country: Agency-Wide

Semiannual Report to Congress April 1, 2016 to September 30, 2016

Report Date: 11/14/2016

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Semiannual Report

Country: Agency-Wide

Final Management Letter - Readiness Review of the SEC's Progress Toward Compliance with the DATA Act of 2014

Report Date: 11/2/2016

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Review

Country: Agency-Wide

Audit of the SEC's Information Technology Requirements-Gathering Process, Report No. 538

Report Date: 9/30/2016

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Audit

Country: Agency-Wide

Audit of the SEC’s Process for Reviewing Self-Regulatory Organizations’ Proposed Rule Changes, Report No. 537

Report Date: 9/23/2016

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Audit

Country: Agency-Wide

OIG Strategic Plan for Fiscal Years 2017 - 2019

Report Date: 9/19/2016

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Other

Country: Agency-Wide

Final Closeout Memorandum: Audit of the SEC's Hiring Practices

Report Date: 8/19/2016

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Audit

Country: Agency-Wide

Inspector General's Report on Covered Systems

Report Date: 8/11/2016

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Other

Country: Agency-Wide

Final Management Letter: Evaluation of the SEC Division of Enforcement's Coordination Related to a Federal Civil Action

Report Date: 6/30/2016

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Audit

Country: Agency-Wide

Management of the SEC’s Protective Security Force Contract Needs Improvement, Report No. 536

Report Date: 6/22/2016

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Audit

Country: Agency-Wide

Audit of the SEC’s Compliance with the Federal Information Security Modernization Act for Fiscal Year 2015, Report No. 535

Report Date: 6/2/2016

Agency Reviewed / Investigated: Securities and Exchange Commission

Type: Audit

Country: Agency-Wide

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