Securities and Exchange Commission

Source Id

383

DOJ Press Release: Licensed Attorney And Disbarred Attorney Charged With Securities Fraud For Roles In Fraudulent Opinion Letter Scheme

12/02/2020

2021

Other

Securities and Exchange Commission OIG

Securities and Exchange Commission

Read more about DOJ Press Release: Licensed Attorney And Disbarred Attorney Charged With Securities Fraud For Roles In Fraudulent Opinion Letter Scheme

Semiannual Report to Congress: April 1, 2020, through September 30, 2020

11/25/2020

2020

Semiannual Report

Securities and Exchange Commission OIG

Securities and Exchange Commission

Read more about Semiannual Report to Congress: April 1, 2020, through September 30, 2020

External Peer Review Report for the SEC OIG Inspection and Evaluation Function

10/20/2020

2021

Other

Securities and Exchange Commission OIG

Securities and Exchange Commission

Read more about External Peer Review Report for the SEC OIG Inspection and Evaluation Function

The Inspector General’s Statement on the SEC’s Management and Performance Challenges, October 2020

10/08/2020

2021

Top Management Challenges

Securities and Exchange Commission OIG

Securities and Exchange Commission

Read more about The Inspector General’s Statement on the SEC’s Management and Performance Challenges, October 2020

Opportunities Exist To Improve the SEC’s Management of Mobile Devices and Services, Report No. 562

09/30/2020

2020

562

Audit

Securities and Exchange Commission OIG

Securities and Exchange Commission

Read more about Opportunities Exist To Improve the SEC’s Management of Mobile Devices and Services, Report No. 562

SEC Press Release: SEC Updates Filing Threshold to Rule 17h Reporting Requirements for Broker-Dealers

06/29/2020

2020

Other

Securities and Exchange Commission OIG

Securities and Exchange Commission

Read more about SEC Press Release: SEC Updates Filing Threshold to Rule 17h Reporting Requirements for Broker-Dealers

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

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