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Inspector General Reports

Report Datesort ascending Agency Reviewed / Investigated Title Type Location
01/13/2021 Securities and Exchange Commission The SEC's OIEA Could Benefit From Increased Coordination, Additional Performance Metrics, and Formal Strategic Planning, Report No. 564 Audit Agency-Wide
12/21/2020 Securities and Exchange Commission Fiscal Year 2020 Independent Evaluation of SEC's Implementation of the Federal Information Security Modernization Act of 2014, Report No. 563 Inspection / Evaluation Agency-Wide
12/02/2020 Securities and Exchange Commission DOJ Press Release: Licensed Attorney And Disbarred Attorney Charged With Securities Fraud For Roles In Fraudulent Opinion Letter Scheme Other Agency-Wide
11/25/2020 Securities and Exchange Commission Semiannual Report to Congress: April 1, 2020, through September 30, 2020 Semiannual Report Agency-Wide
10/20/2020 Securities and Exchange Commission External Peer Review Report for the SEC OIG Inspection and Evaluation Function Other Agency-Wide
10/08/2020 Securities and Exchange Commission The Inspector General’s Statement on the SEC’s Management and Performance Challenges, October 2020 Top Management Challenges Agency-Wide
09/30/2020 Securities and Exchange Commission Opportunities Exist To Improve the SEC’s Management of Mobile Devices and Services, Report No. 562 Audit Agency-Wide
07/10/2020 Securities and Exchange Commission SEC Press Release: SEC Proposes Amendments to Update Form 13F for Institutional Investment Managers; Amend Reporting Threshold to Reflect Today’s Equities Markets Other Agency-Wide
06/29/2020 Securities and Exchange Commission SEC Press Release: SEC Updates Filing Threshold to Rule 17h Reporting Requirements for Broker-Dealers Other Agency-Wide
05/29/2020 Securities and Exchange Commission Semiannual Report to Congress: October 1, 2019, through March 31, 2020 Semiannual Report Agency-Wide

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