Securities and Exchange Commission

Source Id

383

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

03/30/2020

2020

560

Audit

Securities and Exchange Commission OIG

Securities and Exchange Commission

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

Biotech Officer Sentenced for Securities Fraud and Obstruction of SEC Proceeding

02/28/2020

2020

Investigation

Securities and Exchange Commission OIG

Securities and Exchange Commission

Read more about Biotech Officer Sentenced for Securities Fraud and Obstruction of SEC Proceeding

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

02/26/2020

2020

559

Inspection / Evaluation

Securities and Exchange Commission OIG

Securities and Exchange Commission

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

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

12/19/2019

2020

Other

Securities and Exchange Commission OIG

Securities and Exchange Commission

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

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

12/18/2019

2020

558

Inspection / Evaluation

Securities and Exchange Commission OIG

Securities and Exchange Commission

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

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

12/17/2019

2020

Inspection / Evaluation

Securities and Exchange Commission OIG

Securities and Exchange Commission

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

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

12/02/2019

2019

Semiannual Report

Securities and Exchange Commission OIG

Securities and Exchange Commission

Read more about Semiannual Report: April 1, 2019 to September 30, 2019

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

11/07/2019

2020

556

Audit

Securities and Exchange Commission OIG

Securities and Exchange Commission

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

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

11/04/2019

2020

557

Audit

Securities and Exchange Commission OIG

Securities and Exchange Commission

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

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

10/28/2019

2020

Investigation

Securities and Exchange Commission OIG

Securities and Exchange Commission

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

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