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# Other

# Office of Inspector General Recent Reports

                                - Final Management Letter: Evaluation of the SEC’s FY 2023 Compliance With the Payment Integrity Information Act of 2019
                                - Peer Review: External Peer Review Report for the SEC OIG Inspection and Evaluation Function
                                - Opportunities Exist to Strengthen the SEC’s Office of Equal Employment Opportunity Programs and Operations, Report No. 581
                                - Fiscal Year 2023 Independent Evaluation of the SEC’s Implementation of the Federal Information Security Modernization Act of 2014, Report No. 580
                                - Semiannual Report to Congress: April 1, 2023, through September 30, 2023
                                - The Inspector General’s Statement on the SEC’s Management and Performance Challenges, October 2023
                                - Final Management Letter: Readiness Review – The SEC’s Progress Toward Implementing Zero Trust Cybersecurity Principles
                                - The SEC Took Appropriate Workplace Safety Actions in Accordance With Pandemic Guidance But Could Improve Communications, Report No. 579
                                - Semiannual Report to Congress: October 1, 2022, through March 31, 2023
                                - Evaluation of the SEC’s FY 2022 Compliance With the Payment Integrity Information Act of 2019, Report No. 578
                                - Final Management Letter: Review of Upward Mobility Program
                                - Final Management Letter: Review of SEC Controls Over Public Comments Submitted Online and Actions Taken in Response to a Known Error
                                - Deputy Inspector General for Audits, Evaluations, and Special Projects’ Testimony before the Committee on Financial Services Subcommittee on Oversight and Investigations, U.S. House of Representatives, March 8, 2023
                                - The SEC Supported Federal Small Business Contracting Objectives, Yet Could Make Better Use of Data and Take Other Actions To Further Promote Small Business Contracting, Report No. 577
                                - Enforcement Investigations: Measures of Timeliness Showed Some Improvement But Enforcement Can Better Communicate Capabilities for Expediting Investigations and Improve Internal Processes, Report No. 576
                                - Inspector General's FY 2022 Letter to OMB on SEC's Implementation of Purchase Card Program Audit Recommendations
                                - SEC’s Whistleblower Program: Additional Actions Are Needed To Better Prepare for Future Program Growth, Increase Efficiencies, and Enhance Program Management, Report No. 575
                                - Semiannual Report to Congress: April 1, 2022, through September 30, 2022
                                - Fiscal Year 2022 Independent Evaluation of the SEC’s Implementation of the Federal Information Security Modernization Act of 2014, Report No. 574
                                - The Inspector General’s Statement on the SEC’s Management and Performance Challenges, October 2022
                                - 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
                                - OASB Complied With Statutory Requirements But Can Improve As It Matures, Report No. 573
                                - Findings Related to the Former SEC Ombudsman
                                - Interim Body Worn Camera Policy
                                - Results of the Inspector General’s Fiscal Year 2021 Purchase and Travel Card Program Risk Assessment
                                - Final Management Letter: Evaluation of the SEC’s FY 2021 Compliance With the Payment Integrity Information Act of 2019
                                - Semiannual Report to Congress: October 1, 2021 through March 31, 2022
                                - The SEC Can Improve in Several Areas Related to Hiring, Report No. 572
                                - Inspector General's FY 2021 Letter to OMB on SEC's Implementation of Purchase Card Program Audit Recommendations
                                - 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
                                - Fiscal Year 2021 Independent Evaluation of the SEC’s Implementation of the Federal Information Security Modernization Act of 2014, Report No. 570
                                - Semiannual Report to Congress: April 1, 2021, through September 30, 2021
                                - Audit of the SEC’s Compliance With the Digital Accountability and Transparency Act for Fiscal Year 2021, Report No. 569
                                - The Inspector General’s Statement on the SEC’s Management and Performance Challenges, October 2021
                                - Additional Steps Are Needed For the SEC To Implement a Well-Defined Enterprise Architecture, Report No. 568
                                - Peer Review: System Review Report on the Securities and Exchange Commission's Office of Inspector General Audit Organization
                                - 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
                                - Review for Racial and Ethnic Disparities in the SEC’s Issuance of Corrective and Disciplinary Actions from January 1, 2017 – August 31, 2020
                                - Final Management Letter: Review of the SEC's Compliance With CISA ED 21-01 and Initial Response to the SolarWinds Compromise
                                - DOJ Press Release: Disbarred Attorney Pleads Guilty To Securities Fraud In Connection With Fraudulent Opinion Letter Scheme
                                - Semiannual Report to Congress: October 1, 2020 to March 31, 2021
                                - Final Management Letter: Actions May Be Needed To Improve Processes for Receiving and Coordinating Investor Submissions
                                - Final Management Letter: Evaluation of SEC’s FY 2020 Compliance With the Payment Integrity Information Act of 2019
                                - The SEC Can Further Strengthen the Tips, Complaints, and Referrals Program, Report No. 566
                                - The SEC Has Taken Steps to Strengthen Its Monitoring of ISS Contractor’s Performance, But Additional Actions Are Needed, Report No. 565
                                - SEC OIG 2020 FEVS Announcement
                                - Inspector General's FY 2020 Letter to OMB on SEC's Implementation of Purchase Card Program Audit Recommendations
                                - The SEC's OIEA Could Benefit From Increased Coordination, Additional Performance Metrics, and Formal Strategic Planning, Report No. 564
                                - Fiscal Year 2020 Independent Evaluation of SEC’s Implementation of the Federal Information Security Modernization Act of 2014, Report No. 563
                                - DOJ Press Release: Licensed Attorney And Disbarred Attorney Charged With Securities Fraud For Roles In Fraudulent Opinion Letter Scheme
                                - Semiannual Report to Congress: April 1, 2020, through September 30, 2020
                                - External Peer Review Report for the SEC OIG Inspection and Evaluation Function
                                - The Inspector General’s Statement on the SEC’s Management and Performance Challenges, October 2020
                                - Opportunities Exist To Improve the SEC’s Management of Mobile Devices and Services, Report No. 562
                                - Findings of Alleged Fraudulent SEC Rulemaking Comment Letters
                                - SEC Press Release: SEC Proposes Amendments to Update Form 13F for Institutional Investment Managers; Amend Reporting Threshold to Reflect Today’s Equities Markets
                                - SEC Press Release: SEC Updates Filing Threshold to Rule 17h Reporting Requirements for Broker-Dealers
                                - Semiannual Report to Congress: October 1, 2019, through March 31, 2020
                                - Evaluation of the SEC’s FY 2019 Compliance with the Improper Payments Elimination and Recovery Act of 2010, Report No. 561
                                - DOJ Press Release: United States Attorney for the District of Columbia Timothy J. Shea Announces Launch of Metropolitan Area COVID-19 Anti-Fraud Task Force
                                - Results of the Inspector General’s Fiscal Year 2019 Purchase Card Program Risk Assessment
                                - Controls Over the SEC’s Travel Charge Card Program Could Be Strengthened To More Fully Comply With Requirements and Maximize Benefits, Report No. 560
                                - DOJ Press Release: Biotech Officer Sentenced for Securities Fraud and Obstruction of SEC Proceeding
                                - The SEC’s Office of Broker-Dealer Finances Provides Effective Oversight, But Opportunities to Improve Efficiency Exist, Report No. 559
                                - DOJ Press Release: Biotech Company CEO Sentenced for Securities Fraud and Obstruction
                                - DOJ Press Relase: Biotech Company Employee Sentenced for Securities Fraud
                                - Inspector General's FY 2019 Letter to OMB on SEC's Implementation of Purchase Card Program Audit Recommendations
                                - Fiscal Year 2019 Independent Evaluation of SEC’s Implementation of the Federal Information Security Modernization Act of 2014, Report No. 558
                                - Final Management Letter: Evaluation of the U.S. Securities and Exchange Commission’s Delinquent Filings Program
                                - DOJ Press Release: Former Chief Executive Officer Of Publicly Traded Brand Management Company Charged With Accounting Fraud And Obstruction Of Justice
                                - Semiannual Report to Congress: April 1, 2019, through September 30, 2019
                                - The SEC Can More Strategically and Securely Plan, Manage, and Implement Cloud Computing Services, Report No. 556
                                - Audit of the SEC’s Compliance With the Digital Accountability and Transparency Act for Fiscal Year 2019, Report No. 557
                                - DOJ Press Release: Biotech Company CEO Convicted of Securities Fraud and Obstruction
                                - The Inspector General’s Statement on the SEC’s Management and Performance Challenges, October 2019
                                - OIG Strategic Plan for Fiscal Years 2019 - 2024
                                - The SEC Has Processes to Manage Information Technology Investments But Improvements Are Needed, Report No. 555
                                - Top Management and Performance Challenges Facing Financial-Sector Regulatory Organizations, July 2019
                                - The SEC Can Better Manage Administrative Aspects of the ISS Contract, Report No. 554
                                - Final Management Letter: Update on the SEC’s Progress Toward Redesigning the Electronic Data Gathering, Analysis, and Retrieval System
                                - Semiannual Report to Congress: October 1, 2018, through March 31, 2019
                                - Although Highly Valued by End Users, DERA Could Improve Its Analytics Support by Formally Measuring Impact, Where Possible, Report No. 553
                                - DOJ Press Release: Owner of South Bay Law Firm and Office Manager Charged with Committing Large-Scale Immigration Visa Fraud
                                - Results of the Inspector General’s Fiscal Year 2018 Purchase Card Program Risk Assessment
                                - The SEC’s Compliance with Improper Payments Requirements for Fiscal Year 2018
                                - DOJ Press Release: Biotech Company Employee Pleads Guilty to Securities Fraud Charges
                                - Fiscal Year 2018 Independent Evaluation of SEC’s Implementation of the Federal Information Security Modernization Act of 2014, Report No. 552
                                - DOJ Press Release: Pennsylvania Man Pleads Guilty to International Email Impersonation and Fraud Scam
                                - Inspector General's FY 2018 Letter to OMB on SEC's Implementation of Purchase Card Program Audit Recommendations
                                - Semiannual Report to Congress: April 1, 2018 through September 30, 2018
                                - The Inspector General’s Statement on the SEC’s Management and Performance Challenges, October 2018
                                - DOJ Press Release: Former Auditor Sentenced For Submitting Fraudulently Backdated Documents To The Securities And Exchange Commission
                                - TCP Established Method To Effectively Oversee Entity Compliance With Regulation SCI But Could Improve Aspects of Program Management, Report No. 551
                                - Evaluation of the EDGAR System’s Governance and Incident Handling Processes, Report No. 550
                                - The SEC Made Progress But Work Remains To Address Human Capital Management Challenges and Align With the Human Capital Framework, Report No. 549
                                - The SEC Should Take Action to Strengthen Its Management of Electronic Information Sources, Data Sources, and Print Materials, Report No. 548
                                - External Peer Review Report on U.S. Securities and Exchange Commission Office of Inspector General Audit Organization
                                - DOJ Press Release: Dominican National Sentenced for International E-Mail Impersonation and Fraud Scam
                                - Audit of the SEC’s Internal Controls for Retaining External Experts and Foreign Counsel for the Division of Enforcement, Report No. 547
                                - Semiannual Report to Congress: October 1, 2017, through March 31, 2018
                                - Audit of the SEC’s Compliance With the Federal Information Security Modernization Act for Fiscal Year 2017, Report No. 546
                                - Results of the Inspector General’s Fiscal Year 2017 Purchase Card Program Risk Assessment
                                - Inspector General’s Report on the U.S. Securities and Exchange Commission’s Fiscal Year 2017 Compliance with the Improper Payments Information Act
                                - Semiannual Report to Congress: April 1, 2017, through September 30, 2017
                                - Inspector General's FY 2017 Letter to OMB on SEC's Implementation of Purchase Card Program Audit Recommendations
                                - Audit of the SEC’s Compliance with the Digital Accountability and Transparency Act for Fiscal Year 2017, Report No. 545
                                - The Inspector General’s Statement on the SEC’s Management and Performance Challenges, October 2017
                                - Audit of the SEC’s Management of Its Data Centers, Report No. 543
                                - Audit of the SEC’s Progress in Enhancing and Redesigning the Electronic Data Gathering, Analysis, and Retrieval System, Report No. 544
                                - Evaluation of the Division of Corporation Finance’s Disclosure Review and Comment Letter Process, Report 542
                                - Review of Certain Actions Taken by Commissioner Michael Piwowar as Acting Chairman
                                - Audit of the Office of Compliance Inspections and Examinations’ Investment Adviser Examination Completion Process, Report No. 541
                                - Final Management Letter: Progress on the SEC’s Tips, Complaints, and Referrals Intake and Resolution System Redesign and Vulnerability Remediation Efforts
                                - DOJ Press Release: Virginia Man Arrested And Charged In Manhattan Federal Court With $100 Million Market Manipulation Scheme Involving Fitbit Stock
                                - DOJ Press Release: Former SEC Employee Pleads Guilty to Making False Statements Designed to Conceal Prohibited Trading
                                - Semiannual Report to Congress: October 1, 2016, through March 31, 2017
                                - DOJ Press Release: Connecticut Financial Advisor Sentenced for Obstructing SEC Investigation
                                -  Audit of the Division of Corporation Finance’s Management of Requests for No-Action and Interpretive Letters, Exemptions, and Waivers, Report No. 540 
                                -  Results of Inspector General's Fiscal Year 2016 Purchase Card Program Risk Assessment 
                                -  Inspector General's Review of the SEC's FY 2016 Compliance with the Improper Payments Information Act 
                                -  Audit of the SEC’s Compliance with the Federal Information Security Modernization Act for Fiscal Year 2016, Report No. 539 
                                -  Inspector General's FY 2016 Letter to OMB on SEC's Implementation of Purchase Card Program Audit Recommendations 
                                -  Semiannual Report to Congress: April 1, 2016, through September 30, 2016 
                                -  Final Management Letter - Readiness Review of the SEC's Progress Toward Compliance with the DATA Act of 2014 
                                -  Inspector General's Statement on the SEC's Management and Performance Challenges, October 2016 
                                -  Audit of the SEC’s Information Technology Requirements-Gathering Process, Report No. 538 
                                -  Audit of the SEC’s Process for Reviewing Self-Regulatory Organizations’ Proposed Rule Changes, Report No. 537 
                                -  OIG Strategic Plan for Fiscal Years 2017 - 2019 
                                -  Final Closeout Memorandum: Audit of the SEC's Hiring Practices 
                                -  Inspector General’s Report on Covered Systems (August 11, 2016)  
                                -  Final Management Letter: Evaluation of the SEC Division of Enforcement's Coordination Related to a Federal Civil Action (PDF)  
                                -  Management of the SEC's Protective Security Force Contract Needs Improvement, Report No. 536  
                                -  Audit of the SEC’s Compliance with the Federal Information Security Modernization Act for Fiscal Year 2015, Report No. 535   
                                - Semiannual Report to Congress: October 1, 2015, through March 31, 2016
                                - Audit of the SEC's Student Loan Repayment Program, Report No. 534
                                - Results of Inspector General's Fiscal Year 2015 Purchase Card Program Risk Assessment
                                - Office of Compliance Inspections and Examinations' Management of Investment Adviser Examination Coverage Goals, Report No. 533
                                - Improvements Needed in Oversight of SEC-Sponsored Conferences, Report No. 532
                                -  Final Report of Investigation, Administrative Law Judges, 15-ALJ-0482-I 
                                - Inspector General's Review of the SEC's FY 2015 Compliance with the Improper Payments Information Act
                                -  Review of the SEC’s Pay Transition Program, 15-ONR-0281-R 
                                - Semiannual Report to Congress: April 1, 2015 through September 30, 2015
                                - Inspector General’s FY 2015 Letter to OMB on SEC’s Implementation of Purchase Card Program Audit Recommendations
                                - Improvements Needed in the Division of Enforcement's Oversight of Fund Administrators, Report No. 531
                                - A udit of the SEC's Contracting Offices' Representative Program, Report No. 530
                                - Review of Non-Career Officials' Involvement in the SEC's FOIA Response Process
                                - Interim Report of Investigation, Administrative Law Judges, 15-ALJ-0482-I
                                - Final Management Letter:  Evaluation of the SEC's Use of the Reserve Fund
                                - Final Management Letter:  Observations Noted During TCR System Audit Support Engagement
                                - Federal Information Security Management Act: Fiscal Year 2014 Evaluation, Report No. 529
                                - Audit of the Office of the Ethics Counsel’s Oversight of Employee Securities Holdings, Report No. 527
                                - 2014 Semiannual Report to Congress: April 1, 2014, through September 30, 2014
                                - Audit of the Representation of Minorities and Women in the SEC’s Workforce, Report No. 528
                                - Semiannual Report to Congress: October 1, 2014 through March 31, 2015
                                - Analysis of the SEC's Compliance with Conference Approval and Reporting Requirements for Fiscal Year 2014
                                - Controls Over the SEC's Inventory of Laptop Computers, Report No. 524
                                - Audit of the SEC’s Physical Security Program, Report No. 523
                                - Review of the SEC’s Practices for Sanitizing Digital Information System Media, Report No. 521
                                - Semiannual Report to Congress: October 1, 2013 through March 31, 2014
                                - Inspector General’s Report to OMB on SEC’s Implementation of Purchase Card Program Audit Recommendations
                                - Report of the U.S. SEC's Fiscal Year 2013 Compliance with the Improper Payments Information Act, February 24, 2014
                                - Employee Exit Process – Records Review
                                - Semiannual Report to Congress: April 1, 2013 to September 30, 2013
                                - 2013 Semiannual Report to Congress
                                - Audit of SEC’s Controls over Support Service, Expert and Consulting Service Contracts, Report No. 513
                                - Audit of the SEC’s Filing Fees Program, Report No. 514
                                - 2012 FISMA Executive Summary, Report No. 512
                                - Review of the SEC’s Systems Certification and Accreditation Process, Report No. 515
                                - SEC’s Controls Over Sensitive/Nonpublic Information Collected and Exchanged With the Financial Stability Oversight Council and Office of Financial Research, Report No. 509
                                - Evaluation of the SEC's Whistleblower Program, Report No. 511
                                - OIG Fall 2012 Final Report to Congress
                                - Investigation Into Misuse of Resources and Violations of Information Technology Security Policies Within the Division of Trading and Markets, OIG-557
                                - SEC's Records Management Practices, Report No. 505
                                - The Office of International Affairs Internal Operations and Travel Oversight, Report No. 508
                                - 2012 Semiannual Report to Congress
                                - Review of the SEC’s Continuity of Operations Program, Report No. 502
                                - SEC's Use of Justifications and Approvals in Sole-Source Contractings, Report No. 507
                                - SEC's Controls Over Government Furnished Equipment and Contractor Acquired Property, Report No. 503
                                - Assessment of SEC's System and Network Logs, Report No. 500
                                - 2011 Annual FISMA Executive Summary Report, Report No. 501
                                - Follow-Up Review of Cost-Benefit Analyses in Selected SEC Dodd-Frank Act Rulemakings, Report No. 499
                                - SEC OIG Press Release Announcing Settlement of Civil Charges Against Former Head of SEC Fort Worth Enforcement Program
                                - 2011 Semiannual Report to Congress
                                - Destruction of Records Related to Matters Under Inquiry and Incomplete Statements to the National Archives and Records Administration Regarding that Destruction by the Division of Enforcement, OIG-567
                                - Allegations of Enforcement Staff Misconduct in Insider Trading Investigation, OIG-511
                                - Assessment of the Office of Investor Education and Advocacy’s Functions, Report No. 498
                                - Excessive Payment of Living Expenses in Contravention of OPM Guidance for a Headquarters Senior Official, OIG-561
                                - Review of Alternative Work Arrangements, Overtime Compensation, and COOP-Related Activities at the SEC, Report No. 491
                                - Inspector General’s Testimony before the Subcommittee on Oversight and Investigations, Committee on Financial Services, and the Subcommittee on TARP, Financial Services and Bailouts of Public and Private Programs, Committee on Oversight and Government Reform, U.S. House of Representatives, September 22, 2011
                                - Investigation of Conflict of Interest Arising from Former General Counsel’s Participation in Madoff-Related Matters, OIG-560
                                - Assessment of SEC’s Continuous Monitoring Program, Report No. 497
                                - Inspector General’s Testimony before the Federal Financial Management, Government Information, Federal Services, and International Security Subcommittee of the U.S. Senate Committee on Homeland Security and Government Affairs
                                - Audit of SEC’s Employee Recognition Program and Recruitment, Relocation, and Retention Incentives, Report No. 492
                                - Annual Report of the Council of Inspectors General on Financial Oversight, July 2011
                                - Review of SEC Contracts for Inclusion of Language Addressing Privacy Act Requirements, Report No. 496
                                - Oversight of and Compliance with Conditions and Representations Related to Exemptive Orders and No-Action Letters, Report No. 482
                                - Inspector General’s Testimony before the Subcommittee on Economic Development, Public Buildings and Emergency Management, U.S. House of Representatives
                                - Establishment of the Office of Minority and Women Inclusion
                                - Report of Review of Economic Analysis Performed by the Securities and Exchange Commission in Connection with Dodd-Frank Act Rulemakings
                                - Improper Actions Relating to the Leasing of Office Space, OIG-553
                                - Inspector General’s Testimony before the Subcommittee on Oversight and Investigations, Committee on Financial Services, U.S. House of Representatives, May 13, 2011
                                - The SEC’s Implementation of and Compliance with Homeland Security Presidential Directive 12, Report No. 481
                                - SEC’s Oversight of the Securities Investor Protection Corporation’s Activities, Report No. 495
                                - OCIE Regional Offices’ Referrals to Enforcement, Report No. 493
                                - Audit of the SEC Budget Execution Cycle, Report No. 488
                                - DOJ Press Release Announcing Indictment Based on False Applications to Federal Agencies, Including the SEC
                                - 2010 Annual FISMA Executive Summary Report, Report No. 489
                                - Inspector General’s Testimony before the Subcommittee on Financial Services and General Government, Committee on Appropriations, U.S. House of Representatives
                                - Investigation of the Failure of the SEC's Los Angeles Regional Office to Uncover Fraud in Westridge Capital Management Notwithstanding Investment Adviser Examination Conducted in 2005 and Inappropriate Conduct on the Part of Senior Los Angeles Official
                                - Review of Select Time-and-Materials and Labor-Hour Contracts (PDF) 

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