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Inspector General Reports

Report Datesort ascending Agency Reviewed / Investigated Title Type Location
12/21/2021 Securities and Exchange Commission Fiscal Year 2021 Independent Evaluation of the SEC’s Implementation of the Federal Information Security Modernization Act of 2014, Report No. 570 Inspection / Evaluation Agency-Wide
12/08/2021 Securities and Exchange Commission Semiannual Report to Congress: April 1, 2021, through September 30, 2021 Semiannual Report Agency-Wide
10/28/2021 Securities and Exchange Commission Audit of the SEC’s Compliance With the Digital Accountability and Transparency Act for Fiscal Year 2021, Report No. 569 Audit Agency-Wide
10/08/2021 Securities and Exchange Commission The Inspector General’s Statement on the SEC’s Management and Performance Challenges, October 2021 Top Management Challenges Agency-Wide
09/29/2021 Securities and Exchange Commission Additional Steps Are Needed For the SEC To Implement a Well-Defined Enterprise Architecture, Report No. 568 Audit Agency-Wide
09/24/2021 Securities and Exchange Commission Peer Review: System Review Report on the Securities and Exchange Commission's Office of Inspector General Audit Organization Review Agency-Wide
09/17/2021 Securities and Exchange Commission DERA Staff Research and Publications Support the SEC’s Mission, But Related Controls and Agency-wide Communication and Coordination Could Be Improved, Report No. 567 Audit Agency-Wide
08/26/2021 Securities and Exchange Commission Review for Racial and Ethnic Disparities in the SEC’s Issuance of Corrective and Disciplinary Actions from January 1, 2017 – August 31, 2020 Other Agency-Wide
08/03/2021 Securities and Exchange Commission Final Management Letter: Review of the SEC's Compliance With CISA ED 21-01 and Initial Response to the SolarWinds Compromise Audit Agency-Wide
07/08/2021 Securities and Exchange Commission DOJ Press Release: Disbarred Attorney Pleads Guilty To Securities Fraud In Connection With Fraudulent Opinion Letter Scheme Other Agency-Wide

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