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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.
Inspector General's FY 2022 Letter to OMB on SEC's Implementation of Purchase Card Program Audit Recommendations
SEC’s Whistleblower Program: Additional Actions Are Needed To Better Prepare for Future Program Growth, Increase Efficiencies, and Enhance Program Management, Report No. 575
Semiannual Report to Congress: April 1, 2022, through September 30, 2022
Fiscal Year 2022 Independent Evaluation of the SEC’s Implementation of the Federal Information Security Modernization Act of 2014, Report No. 574
The Inspector General’s Statement on the SEC’s Management and Performance Challenges, October 2022
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
OASB Complied With Statutory Requirements But Can Improve As It Matures, Report No. 573
Findings Related to the Former SEC Ombudsman
