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Inspector General Reports

Report Datesort ascending Agency Reviewed / Investigated Title Type Location
02/28/2020 Securities and Exchange Commission Biotech Officer Sentenced for Securities Fraud and Obstruction of SEC Proceeding Investigation Agency-Wide
02/26/2020 Securities and Exchange Commission The SEC’s Office of Broker-Dealer Finances Provides Effective Oversight, But Opportunities to Improve Efficiency Exist, Report No. 559 Inspection / Evaluation Agency-Wide
12/19/2019 Securities and Exchange Commission Inspector General's FY 2019 Letter to OMB on SEC's Implementation of Purchase Card Program Audit Recommendations Other Agency-Wide
12/18/2019 Securities and Exchange Commission Fiscal Year 2019 Independent Evaluation of SEC’s Implementation of the Federal Information Security Modernization Act of 2014, Report No. 558 Inspection / Evaluation Agency-Wide
12/17/2019 Securities and Exchange Commission Final Management Letter: Evaluation of the U.S. Securities and Exchange Commission’s Delinquent Filings Program Inspection / Evaluation Agency-Wide
12/02/2019 Securities and Exchange Commission Semiannual Report: April 1, 2019 to September 30, 2019 Semiannual Report Agency-Wide
11/07/2019 Securities and Exchange Commission The SEC Can More Strategically and Securely Plan, Manage, and Implement Cloud Computing Services, Report No. 556 Audit Agency-Wide
11/04/2019 Securities and Exchange Commission Audit of the SEC’s Compliance With the Digital Accountability and Transparency Act for Fiscal Year 2019, Report No. 557 Audit Agency-Wide
10/28/2019 Securities and Exchange Commission DOJ Press Release: Biotech Company CEO Convicted of Securities Fraud and Obstruction Investigation Agency-Wide
10/07/2019 Securities and Exchange Commission The Inspector General’s Statement on the SEC’s Management and Performance Challenges, October 2019 Top Management Challenges Agency-Wide

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