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Inspector General Reports

Report Datesort ascending Agency Reviewed / Investigated Title Type Location
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
01/26/2021 Securities and Exchange Commission Inspector General's FY2020 Letter to OMB on SEC's Implementation of Purchase Card Program Audit Recommendations Audit Agency-Wide
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

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