Office of Inspector General (OIG)

The Office of Inspector General (OIG) is an independent office within the U.S. Securities and Exchange Commission (SEC or Commission) that conducts, supervises, and coordinates audits and investigations of the programs and operations of the SEC. The mission of the OIG is to prevent and detect fraud, waste, and abuse and to promote integrity, economy, efficiency, and effectiveness in the Commission's programs and operations.

The OIG consists of the Inspector General, the Deputy Inspector General, the Assistant Inspector General for Audits, the Assistant Inspector General for Investigations, the Counsel to the Inspector General, auditors, investigators, and support staff.

Overview

The Office of Audits conducts, coordinates, and supervises independent audits and evaluations of the U.S. Securities and Exchange Commission's (Commission) internal programs and operations at its headquarters and 11 regional offices. The Office of Audits also hires, as needed, contractors and subject matter experts, who provide technical expertise in specific areas, to perform work on behalf of the Office of Inspector General (OIG). ...more

Overview

The Office of Investigations investigates allegations of misconduct involving the programs and operations of the U.S. Securities and Exchange Commission (SEC). The Office of Investigations adheres to the Council of the Inspectors General on Integrity and Efficiency's Quality Standards for Investigations and applicable guidelines issued by the U.S. Attorney General.  ...more



If you wish to make a complaint about misconduct by Commission staff or contractors, or if you have a question or comment about the Office of Inspector General´s audit or investigation programs, please Contact Us.

If your complaint is about a financial professional or is an investment-related matter, you may file a Complaint Online, or call the Office of Investor Education and Advocacy at (800) 732-0330 or (202) 551-6551 or email help@sec.gov.



• 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
• 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
• 2014 Semiannual Report to Congress (October 1, 2013 through March 31, 2014)
• Federal Information Security Management Act: Fiscal Year 2013 Evaluation, Report No. 522
• Controls Over the SEC’s Government Purchase Card Program, Report No. 517
• 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
2013 Semiannual Report to Congress
Library of Congress Office of Inspector General System Review Report, Report No. 520
Use of the Current Guidance on Economic Analysis in SEC Rulemakings, Report No. 518
Implementation of the Current Guidance on Economic Analysis in SEC Rulemakings, Report No. 516
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
All Recent Reports

Whistleblower Protection Information

The Whistleblower Protection Enhancement Act of 2012 protects federal employees who disclose evidence of waste, fraud, or abuse. Under the Act, the statement below, upon this or other notice, is incorporated into the SEC's and SEC OIG's nondisclosure policies, forms, or agreements in effect before the Act's effective date of December 27, 2012:

These provisions are consistent with and do not supersede, conflict with, or otherwise alter the employee obligations, rights, or liabilities created by existing statute or Executive order relating to (1) classified information, (2) communications to Congress, (3) the reporting to an Inspector General of a violation of any law, rule, or regulation, or mismanagement, a gross waste of funds, an abuse of authority, or a substantial and specific danger to public health or safety, or (4) any other whistleblower protection. The definitions, requirements, obligations, rights, sanctions, and liabilities created by controlling Executive orders and statutory provisions are incorporated into this agreement and are controlling.
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