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Inspector General Reports

Report Datesort descending Report Agency Reviewed / Investigated Title Type Location
01/25/2022 Securities and Exchange Commission 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 Audit Agency-Wide
01/26/2022 Securities and Exchange Commission Inspector General's FY 2021 Letter to OMB on SEC's Implementation of Purchase Card Program Audit Recommendations Audit Agency-Wide
02/28/2022 Securities and Exchange Commission The SEC Can Improve in Several Areas Related to Hiring, Report No. 572 Audit Agency-Wide
05/27/2022 Securities and Exchange Commission Semiannual Report to Congress: October 1, 2021 through March 31, 2022 Semiannual Report Agency-Wide
06/22/2022 Securities and Exchange Commission Final Management Letter: Evaluation of the SEC’s FY 2021 Compliance With the Payment Integrity Information Act of 2019 Inspection / Evaluation Agency-Wide
07/13/2022 Securities and Exchange Commission Results of the Inspector General’s Fiscal Year 2021 Purchase and Travel Card Program Risk Assessment Audit Agency-Wide
08/25/2022 Securities and Exchange Commission Interim Body Worn Camera Policy Other Agency-Wide
08/29/2022 Securities and Exchange Commission Findings Related to the Former SEC Ombudsman Investigation Agency-Wide
08/30/2022 Securities and Exchange Commission OASB Complied With Statutory Requirements But Can Improve As It Matures, Report No. 573 Inspection / Evaluation Agency-Wide
09/29/2022 Securities and Exchange Commission 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 Audit Agency-Wide

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