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Website
https://www.sec.gov/oig
Abbreviation
SEC
Agencies
Securities and Exchange Commission
Federal Agency
Yes
Location

United States

What to Report to the OIG Hotline

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.

What Not to Report to the OIG Hotline

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.

Hotline Page
https://www.govcomhotline.com/SEC

SEC’s Whistleblower Program: Additional Actions Are Needed To Better Prepare for Future Program Growth, Increase Efficiencies, and Enhance Program Management, Report No. 575

2023
575
Audit
Securities and Exchange Commission OIG
Securities and Exchange Commission

SEC’s Whistleblower Program: Additional Actions Are Needed To Better Prepare for Future Program Growth, Increase Efficiencies, and Enhance Program Management, Report No. 575

Former CEO Of Iconix Brand Group Convicted At Trial Of Accounting Fraud

Former CEO Of Iconix Brand Group Convicted At Trial Of Accounting Fraud
Article Type
Investigative Press Release
Publish Date

Former CEO Of Iconix Brand Group Convicted At Trial Of Accounting Fraud Damian Williams, the United States Attorney for the Southern District of New York, announced earlier today that a federal jury found NEIL COLE, the former Chief Executive Officer of Iconix Brand Group, Inc. (“Iconix”), guilty of,,,

Fiscal Year 2022 Independent Evaluation of the SEC’s Implementation of the Federal Information Security Modernization Act of 2014, Report No. 574

2023
574
Inspection / Evaluation
Securities and Exchange Commission OIG
Securities and Exchange Commission

Fiscal Year 2022 Independent Evaluation of the SEC’s Implementation of the Federal Information Security Modernization Act of 2014, Report No. 574

Final Management Letter: Changes to the Internal Review Process for Proposed Rules May Impact the Office of the Advocate for Small Business Capital Formation and the Office of the Investor Advocate

2022
Audit
Securities and Exchange Commission OIG
Securities and Exchange Commission

Final Management Letter: Changes to the Internal Review Process for Proposed Rules May Impact the Office of the Advocate for Small Business Capital Formation and the Office of the Investor Advocate

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