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United States
The OIG welcomes information about fraud, waste, abuse, or mismanagement affecting the Securities and Exchange Commission's (SEC) programs and operations, as well as allegations of wrongdoing by SEC employees, contractors, and consultants. To facilitate the making of complaints, the OIG maintains a hotline for the confidential reporting of these matters to the OIG. Hotline complaints may be made by either calling the OIG's toll-free hotline number, (833) SEC-OIG1 (732-6441) or online via www.sec.gov/oig
Complainants are encouraged to assist the OIG by providing their names and information. Complainants also may request that their identity remain confidential or remain anonymous by not providing any identifying information.
Some matters are outside the OIG's jurisdiction and are handled by other agency components. To file a complaint about a securities law violation or to provide a tip on a potential security law violation, please go to the SEC for Enforcement Tips and Complaints.
To file a complaint against a broker, brokerage firm, investment adviser, transfer agent, mutual fund, and other market participant, you may contact the SEC's Office of Investor Education and Advocacy.
OIG's Semiannual Report to Congress – October 1, 2023, through March 31, 2024
Final Management Letter: Evaluation of the SEC’s FY 2023 Compliance With the Payment Integrity Information Act of 2019
Peer Review: External Peer Review Report for the SEC OIG Inspection and Evaluation Function
Opportunities Exist to Strengthen the SEC’s Office of Equal Employment Opportunity Programs and Operations, Report No. 581
Fiscal Year 2023 Independent Evaluation of the SEC’s Implementation of the Federal Information Security Modernization Act of 2014, Report No. 580
Semiannual Report to Congress April 1, 2023, through September 30, 2023
The Inspector General’s Statement on the SEC’s Management and Performance Challenges, October 2023
Final Management Letter: Readiness Review – The SEC’s Progress Toward Implementing Zero Trust Cybersecurity Principles
