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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.
Results of the Inspector General’s Fiscal Year 2021 Purchase and Travel CardProgram Risk Assessment
Final Management Letter: Evaluation of the SEC’s FY 2021 Compliance With the Payment Integrity Information Act of 2019
Semiannual Report to Congress: October 1, 2021 through March 31, 2022
The SEC Can Improve in Several Areas Related to Hiring, Report No. 572
Registered Investment Adviser Examinations: EXAMS Has Made Progress To Assess Risk and Optimize Limited Resources, But Could Further Improve Controls Over Some Processes, Report No. 571
Fiscal Year 2021 Independent Evaluation of the SEC’s Implementation of the Federal Information Security Modernization Act of 2014, Report No. 570
Semiannual Report to Congress: April 1, 2021, through September 30, 2021
