U.S. COMMODITY FUTURES TRADING COMMISSION 

Three Lafayette Centre 

1155 21st Street, NW, Washington, DC 20581 

Telephone: (202) 418-5100 

Facsimile: (202) 418-5521 

www.cftc.gov 

The Secretariat 

ELECTRONIC MAIL 

United States Senate 

Washington, DC 20510 

U.S. House of Representatives 

Washington, DC 20515 

November 21, 2019 

Re: Transmittal of the Semiannual Report of the Office of the Inspector General (OIG) 

of the Commodity Futures Trading Commission for the period from April 1, 2019 

through September 30, 2019. 

Dear Chairs and Ranking Members: 

A copy of the Semiannual Report of the Office of the Inspector General (OIG) of the Commodity 

Futures Trading Commission for the period from April 1, 2019 through September 30, 2019 is 

enclosed. This report, with the accompanying statistical tables and required explanations, is 

submitted to you in accordance with the requirements of Section 5 of the Inspector General Act 

of 1978, as amended. The report provides a description of the resources and procedures of the 

OIG and its audit, investigation, and legislative and regulatory review programs. 

During this reporting period, there were two audit reports over six months old where 

recommendations for corrective action had not been completed. 

If you have any questions regarding the OIG Semiannual Report, please contact Mr. A. Roy 

Lavik, the Inspector General, at 202-418-5110. 

Enclosures 

Sincerely, 

o2J/l1⁄4-~ 

Christopher J. Kirkpatrick 

Secretary of the Commission 
November 21, 2019 

Page 2 

Recipients: 

The Honorable Collin C. Peterson 

Chairman 

Committee on Agriculture 

U.S. House of Representatives 

Washington, DC 20515 

The Honorable Mike Conaway 

Ranking Member 

Committee on Agriculture 

U.S. House of Representatives 

Washington, DC 20515 

The Honorable David Albert Scott 

Chairman 

Subcommittee on Commodity Exchanges, Energy and Credit 

Committee on Agriculture 

U.S. House of Representatives 

Washington, DC 20515 

The Honorable Austin Scott 

Ranking Member 

Subcommittee on Commodity Exchanges, Energy and Credit 

Committee on Agriculture 

U.S. House of Representatives 

Washington, DC 20515 

The Honorable Pat Roberts 

Chairman 

Committee on Agriculture, Nutrition and Forestry 

United States Senate 

Washington, DC 20510 

The Honorable Debbie Stabenow 

Ranking Member 

Committee on Agriculture, Nutrition and Forestry 

United States Senate 

Washington, DC 20510 
November 21, 2019 

Page 3 

The Honorable Nita M. Lowey 

Chairman 

Committee on Appropriations 

U.S. House of Representatives 

Washington, DC 20515 

The Honorable Kay Granger 

Ranking Member 

Committee on Appropriations 

U.S. House of Representatives 

Washington, DC 20515 

The Honorable Sanford D. Bishop 

Chairman 

Subcommittee on Agriculture, Rural Development, 

Food and Drug Administration, and Related Agencies 

Committee on Appropriations 

U.S. House of Representatives 

Washington, DC 20515 

The Honorable Jeff Fortenberry 

Ranking Member 

Subcommittee on Agriculture, Rural Development, Food and Drug Administration, 

and Related Agencies 

Committee on Appropriations 

U.S. House of Representatives 

Washington, DC 20515 

The Honorable Richard C. Shelby 

Chairman 

Committee on Appropriations 

United States Senate 

Washington, DC 20510 

The Honorable Patrick Leahy 

Vice Chairman 

Committee on Appropriations 

United States Senate 

Washington, DC 20510 
November 21, 2019 

Page 4 

The Honorable John Kennedy 

Chairman 

Subcommittee on Financial Services and General Government 

Committee on Appropriations 

United States Senate 

Washington, DC 20510 

The Honorable Christopher Coons 

Ranking Member 

Subcommittee on Financial Services and General Government 

Committee on Appropriations 

United States Senate 

Washington,DC 20510 

The Honorable Carolyn B. Maloney 

Chairwoman 

Committee on Oversight and Government Reform 

U.S. House of Representatives 

Washington, DC 20515 

The Honorable Jim Jordan 

Ranking Member 

Committee on Oversight and Government Reform 

U.S. House of Representatives 

Washington, DC 20515 

The Honorable Ron Johnson 

Chairman 

Committee on Homeland Security and Governmental Affairs 

United States Senate 

Washington, DC 20510 

The Honorable Gary Peters 

Ranking Member 

Committee on Homeland Security and Government Affairs 

United States Senate 

Washington, DC 20510