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Inspector General Reports

Report Datesort ascending Agency Reviewed / Investigated Title Type Location
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
05/28/2021 Securities and Exchange Commission Semiannual Report to Congress: October 1, 2020 to March 31, 2021 Semiannual Report Agency-Wide
05/24/2021 Securities and Exchange Commission Final Management Letter: Actions May Be Needed To Improve Processes for Receiving and Coordinating Investor Submissions Inspection / Evaluation Agency-Wide
03/19/2021 Securities and Exchange Commission Final Management Letter: Evaluation of SEC’s FY 2020 Compliance With the Payment Integrity Information Act of 2019 Inspection / Evaluation Agency-Wide
02/24/2021 Securities and Exchange Commission The SEC Has Taken Steps to Strengthen Its Monitoring of ISS Contractor’s Performance, But Additional Actions Are Needed, Report No. 565 Audit Agency-Wide
02/24/2021 Securities and Exchange Commission The SEC Can Further Strengthen the Tips, Complaints, and Referrals Program, Report No. 566 Audit Agency-Wide
02/17/2021 Securities and Exchange Commission SEC OIG 2020 FEVS Announcement Other Agency-Wide

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