Securities and Exchange Commission

Source Id

383

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

07/10/2020

2020

Other

Securities and Exchange Commission OIG

Securities and Exchange Commission

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

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

05/29/2020

2020

Semiannual Report

Securities and Exchange Commission OIG

Securities and Exchange Commission

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

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

04/27/2020

2020

561

Audit

Securities and Exchange Commission OIG

Securities and Exchange Commission

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

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

04/02/2020

2020

Investigation

Securities and Exchange Commission OIG

Securities and Exchange Commission

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

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

03/31/2020

2020

Audit

Securities and Exchange Commission OIG

Securities and Exchange Commission

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

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

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