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SEC Office of Inspector General Reports

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2008
Semiannual Report to Congress, April 1, 2008 through September 30, 2008 (PDF)
Inspection of Corporation Finance Referrals (PDF), Report No. 433 Sep. 30, 2008
2008 FISMA Executive Summary Report (PDF), Report No. 451 (Public Redacted Version — Report Addresses Issues Associated With Information Security) Sep. 29, 2008
Survey of Enforcement's Hub System, (PDF), Report No. 449 Sep. 29, 2008
Audit of Premium Travel (PDF), Report No. 447 Sep. 29, 2008
SEC's Oversight of Bear Stearns and Related Entities: Broker-Dealer Risk Assessment Program (PDF), Report No. 446-B Sep. 25, 2008
SEC's Oversight of Bear Stearns and Related Entities: Consolidated-Supervised Entity Program (PDF) Report No. 446-A Sep. 25, 2008
Internal Control Review of the Government Purchase Card Program (PDF), Report No. 440 Sep. 18, 2008
Attorney Annual Certification of Bar Membership (PDF), Investigative Memorandum No. 455 Sep. 9, 2008
Semiannual Report to Congress, October 1, 2007 through March 31, 2008 (PDF)
Enterprise Architecture Assessment (PDF), Inspection Report No. 442 Mar. 31, 2008
Controls Over Laptops (PDF), Inspection Report No. 441 Mar. 31, 2008
SRO Rule Filing Process (PDF), Audit No. 438 Mar. 31, 2008
Usefulness of IM's Website (PDF), Inspection Report No. 436 Mar. 28, 2008
Background Investigations (PDF), Inspection Report No. 434 Mar. 28, 2008
Student Loan Program (PDF), Report No. 439 Mar. 27, 2008
SafeSearch Filter on Internet Search Engines (PDF), Investigative Memorandum No. 445 Mar. 21, 2008
Prohibition on Use of Government Resources and Official Time to Support Private Businesses (PDF), Investigative Memorandum No. 444 Jan. 17, 2008
2007
Oversight of Receivers and Distribution Agents (PDF), Evaluation No. 432 Dec. 12, 2007
Internet Use Policies and Rules (PDF), Investigative Memorandum No. 443 Nov. 15, 2007
Semiannual Report to Congress, April 1, 2007 through September 30, 2007 (PDF)
Examiner Ethics Training and Exit Procedures (PDF), Investigative Memorandum No. OIG-460 Sep. 27, 2007
Contract Ratifications (PDF), Inspection No. 430 Sep. 25, 2007
Comments on Inspections Report of Contract Ratification (PDF), Office Memorandum Sep. 25, 2007
Investment Company Disclosure Initiatives (PDF), Audit No. 421 Sep. 25, 2007
Requests to Registrants for Documents (PDF), Investigative Memorandum No. OIG-449 Sep. 17, 2007
Electronic Documents Program (PDF), Audit No. 428 Jul. 25, 2007
Semiannual Report to Congress, October 1, 2006 through March 31, 2007 (PDF)
Verification of Bar Membership (PDF), Investigative Memorandum No. G-454 Apr. 30, 2007
Backlog of FOIA Requests For Comment Letters (PDF), Audit No. 422 Mar. 30, 2007
Audit of Full Disclosure Program's Staff Interpretive Guidance Process (PDF), Audit No. 416 Mar. 28, 2007
Enforcement Performance Management (PDF), Audit No. 423 Feb. 8, 2007
2006
Semiannual Report to Congress, April 1, 2006 through September 30, 2006 (PDF)
Information Technology Management in Enforcement (PDF), Audit No. 405 Nov. 14, 2006
Name Relationship Search Index (NRSI) Training and Warning (PDF), Investigative Memorandum No. G-442/433 Nov. 13, 2006
Personnel Files (PDF), (Inspection No. 419) Sep. 29, 2006
IM Exemptive Application Processing (PDF), Audit No. 408 Sep. 29, 2006
Audit of Oversight of PCAOB (PDF), Audit No. 412 Sep. 28, 2006
Law Student Observer Program (PDF), Investigative Memorandum No. G-444 Jun. 29, 2006
Preliminary Review of Filings (PDF), Audit No. 401 Jun. 22, 2006
Conflict of Interest Controls in Procurement (PDF), Audit No. 404 Jun. 8, 2006
Continuity of Operations Planning (PDF), Audit No. 413 Apr. 21, 2006
Semiannual Report to Congress, October 1, 2005 through March 31, 2006 (PDF)
Workplace Violence Prevention Program (PDF), Investigative Memorandum No. PI06-17 Mar. 27, 2006
PRO Employee Clearance Process (PDF), Investigative Report No. OIG-432 Feb. 16, 2006
Pacific Regional Office (PDF), Audit No. 414 Feb. 14, 2006
Shuttle Bus Log and Employee Commuting Policy (PDF), Investigative Memorandum No. G-435 Feb. 2, 2006
Disgorgements and Penalty Payments (PDF), Audit No. 403 Jan. 25, 2006
2005
Investigative Memorandum on Management Issues (PDF), Audit Memorandum No. PI05-26 Oct. 31, 2005
Semiannual Report to Congress, April 1, 2005 to September 30, 2005 (PDF)
IT Security Certification and Accreditation Process (PDF), Audit No. 411 Sep. 30, 2005
Security Certification and Accreditation of EFOIA (PDF), Audit No. 410 Sep. 30, 2005
Security Certification and Accreditation of ACTS Plus (PDF), Audit No. 409 Sep. 30, 2005
Government Performance & Results Act - 2004 (PDF), Audit No. 399 Sep. 27, 2005
2005 FISMA Executive Summary Report (PDF), Audit No. 406 Sep. 23, 2005
Targeting Broker-Dealer Compliance Examination (PDF), Audit No. 394 Sep. 22, 2005
Office of the Secretary (PDF), Audit No. 402 Sep. 20, 2005
Recruitment, Classification, and Staffing (PDF), Audit No. 389 Aug. 26, 2005
Access to FPPS (PDF), Audit Memorandum No. G-417 Jul. 14, 2005
Operations Center Building Security (PDF), Audit No. 39 Jul. 14, 2005
Field Offices' Integrity Program (PDF), Audit No. 395 May 31, 2005
Additional Employee Ethics Training (PDF), Audit Memorandum No. G-398/402 Apr. 14, 2005
Semiannual Report to Congress, October 1, 2004 to March 31, 2005 (PDF)
Planning Investment Management Filing Reviews (PDF), Audit No. 387 Mar. 29, 2005
Southeast Regional Office IT Management (PDF), Audit No. 400 Mar. 24, 2005
Management of Wireless Communciation Devices (PDF), Audit No. 398 Mar. 24, 2005
Software Management (PDF), Audit No. 393 Mar. 24, 2005
Northeastern Regional Office (PDF), Audit No. 392 Feb. 14, 2005
Enforcement Disgorgement Waivers (PDF), Audit No. 384 Jan. 18, 2005
2004
Midwest Regional Office (PDF), Audit No. 388 Dec. 20, 2004
Northeast Regional Office (PDF), Audit No. 386 Dec. 20, 2004
Forth Worth District Office (PDF), Audit No. 396 Dec. 3, 2004
Salt Lake District Office (PDF), Audit No. 397 Dec. 2, 2004
Semiannual Report to Congress, April 1, 2004 to September 30, 2004 (PDF)
Federal Information Security Management Act (PDF), Audit No. 391 Sep. 10, 2004
Atlanta District Office (PDF), Audit No. 390 Sep. 30, 2004
Targeting IA/IC Compliance Examinations (PDF), Audit No. 383 Sep. 29, 2004
Enterprise Architecture (PDF), Audit No. 381  
Independent Evaluation And Assessment of Internal Control for Contract Oversight (PDF), Audit No. 380 Jun. 25, 2004
Disclosure Filings Examination and Accounting Reports (PDF), Audit No. 378 Sep. 14, 2004
Document Imaging System (PDF), Audit Memorandum No. 38 Sep. 13, 2004
Legal Review of Procurement Actions (PDF), Investigative Memorandum No. OIG-404 Sep. 3, 2004
Office of Economic Analysis (PDF), Audit No. 385 Jun. 29, 2004
Enterprise Architecture (PDF), Audit No. 381 Apr. 15, 2004
Semiannual Report to Congress, October 1, 2003 to March 31, 2004
(PDF version)
Lost and Stolen Securities Program (PDF), Audit No. 377 Mar. 31, 2004
Inappropriate Release of Non-Public Information (PDF), Audit Memorandum No. 37 Mar. 31, 2004
Planning the Enforcement of Full Disclosure Rules (PDF), Audit No. 356 Mar. 29, 2004
IT Capital Investment Decision-Making Follow-Up (PDF), Audit No. 365 Mar. 29, 2004
Small Business Regulation D Exemption Process (PDF), Audit No. 371 Mar. 29, 2004
Commission Responses to Investor Inquiries (PDF), Audit No. 373 Mar. 29, 2004
Commission Work/Life Program (PDF), Audit No. 379 Mar. 29, 2004
Priority to Rural Areas for New Offices (PDF), Audit Memorandum No. 36 Mar. 29, 2004
Central Regional Office (PDF), Audit No. 382 Feb. 12, 2004
Commission-Wide Use of X-Ray Scanners (PDF), Audit Memorandum No. 35 Feb. 10, 2004
Discounted Airfare Tickets (PDF), Audit Memorandum No. 34 Jan. 22, 2004
2003
Unclaimed Commission Property (PDF), Audit Memorandum No. 33 Nov. 17, 2003
Telephone Calling Card Program (PDF), Audit No. 376 Nov. 17, 2003
Web-Based E-Mail Accounts (PDF), Investigative Memorandum No. OIG-376 Oct. 27, 2003
Regulation of Public Utility Holding Companies (PDF), Audit No. 372 Oct. 20, 2003
Semiannual Report to Congress, April 1, 2003 to September 30, 2003
Report of Changes in Independent Accountants, Audit Memorandum No. 32 Sep. 29, 2003
San Francisco District Office, Audit No. 374 Sep. 25, 2003
Compliance Examination Deficiency Letter Process, Audit No. 364 Sep. 23, 2003
Contract for Temporary Clerical Services, Audit Memorandum No. PI03-25 Aug. 21, 2003
SEC Recreation and Welfare Association Financial Management, Audit No. 368 Jul. 31, 2003
Updated Personnel Guidance, Audit Memorandum No. 28 Jun. 24, 2003
Priority to Location of New Offices in Rural Areas, Audit Memorandum No. 30 Jun. 19, 2003
Boston District Office, Audit No. 370 May 13, 2003
Southeast Regional Office, Audit No. 369  
Statutory Disqualification Review Process, Audit No. 363 May 13, 2003
Facility Access Control Systems, Audit Memorandum No. 29 Apr. 29, 2003
Semiannual Report to Congress, October 1, 2002 to March 31, 2003
Deterring Securities Recidivism, Audit No. 360 Mar. 17, 2003
Independent Accountant's Report, Audit No. 362 Jan. 31, 2003
Bankruptcy Program, Audit No. 355 Jan. 31, 2003
Password Management for the Name Relationship Search Inquiry (NRSI) System, Audit Memorandum No. 27 Jan. 29, 2003
Market Contingency Preparedness, Audit No. 359 Jan. 27, 2003
Philadelphia District Office, Audit No. 366 Jan. 24, 2003
Edgar Utility to Commission Staff, Audit No. 351 Jan. 15, 2003
Enforcement Internet Program, Audit No. 352 Jan. 13, 2003
2002
Administration of Information Technology Contracts, Audit No. 350 Dec. 16, 2002
Purchase Cards, Audit No. 357 Nov. 25, 2002
Semiannual Report to Congress, April 1, 2002 to September 30, 2002
Continuity of Operations Planning (COOP), Audit Memorandum No. 26 Sep. 30, 2002
Program Officials' Information Security Responsibilities, Audit Memorandum No. 24 Sep. 10, 2002
Commission Web Security, Audit No. 361 Aug. 28, 2002
Regional Telecommunication Security, Audit No. 353 Aug. 19, 2002
Broker-Dealer Risk Assessment Program, Audit No. 354 Aug. 13, 2002
Collection of Filing Fees, Audit No. 348 Aug. 14, 2002
Travel Management, Audit No. 349 Aug. 8, 2002
Rulemaking Process, Audit No. 347 Jul. 12, 2002
Security of External Databases, Audit Memorandum No. 25 Jul. 7, 2002
Recreation and Welfare Association's - Individual Employee Parking Program, Audit Memorandum No. 23 Jun. 4, 2002
Semiannual Report to Congress, October 1, 2001 to March 31, 2002
GPRA Performance Reports, Audit No. 329 Mar. 29, 2002
Sensitive Information Follow-Up, Audit No. 333 Mar. 8, 2002
Commission Oversight of NAFI, Audit No. 346 Mar. 7, 2002
Priority to Location of New Offices in Rural Areas, Audit Memorandum No. 22 Mar. 28, 2002
Pacific Regional Office, Audit No. 342 Feb. 14, 2002
Information Technology Project Management, Audit No. 337 Jan. 22, 2002
Printing and Publications Summary, Audit No. 335 Feb. 4, 2002
CATS2000 Data, Audit No. 331 Jan. 30, 2002
2001
Fort Worth District Office, Audit No. 345 Nov. 16, 2001
Semiannual Report to Congress, April 1, 2001 to September 30, 2001 (PDF)
Public Transportation Subsidy Program (PDF), Investigative Memorandum No. G-335 Sep. 27, 2001
Broker-Dealer Registration Process (PDF), Audit No. 341 Sep. 21, 2001
Salt Lake City District Office (PDF), Audit No. 343 Sep. 5, 2001
IT Decision Making Process (PDF), Audit No. 334 Aug. 18, 2001
Comment Letter Follow-Up (PDF), Audit No. 326 Aug. 15, 2001
Contractor Background Investigations (PDF), Audit No. 340 Aug. 13, 2001
Staff Background Investigations (PDF), Audit No. 339 Aug. 13, 2001
Security of Personnel Data Files (PDF), Audit No. 338 Aug. 13, 2001
Division and Office Websites (PDF), Investigative Memorandum No. G-332 Jul. 18, 2001
Compliance Inspection and Examination Referrals to Enforcement (PDF), Audit No. 322 Jun. 28, 2001
Real Property Leasing (PDF), Audit No. 330 May 31, 2001
Semiannual Report to Congress, October 1, 2000 to March 31, 2001 (PDF)
FOIA Process (PDF), Audit No. 318 Mar. 23, 2001
Integrity Program (PDF), Audit No. 313 Feb. 23, 2001
Central Regional Office (PDF), Audit No. 328 Jan. 17, 2001
Distribution of Mail (PDF), Audit No. 324 Jan. 5, 2001
2000
Semiannual Report to Congress, April 1, 2000 to September 30, 2000 (PDF)
Clearance Process (PDF), Audit No. 323 Sep. 29, 2000
Investment Management No-Action and Interpretive Letters (PDF), Audit No. 316 Sep. 28, 2000
Payroll Conversion (PDF), Audit No. 314 Sep. 22, 2000
Audit Follow-Up Procedures (PDF), Audit No. 325 Sep. 22, 2000
Additional Security Camera (PDF), Audit Memorandum No. OIG-311 Sep. 18, 2000
Security Camera Taping (PDF), Audit Memorandum No. OIG-307 Sep. 18, 2000
Voluntary Contributions Guidance (PDF), Audit Memorandum No. OIG-314 Aug. 8, 2000
Office of Municipal Securities (PDF), Audit No. 315 Aug. 1, 2000
Commissioners' Travel (PDF), Audit No. 319 Jun. 23, 2000
Semiannual Report to Congress, October 1, 1999 to March 31, 2000 (PDF)
Investor Education And Assistance Program (PDF), Audit No. 288 Apr. 25, 2000
Travel Vouchers (PDF), Audit Memorandum No. 20 Apr. 21, 2000
Oversight of Securities Investor Protection Corporation (PDF), Audit No. 301 Mar. 31, 2000
Training (PDF), Audit No. 305 Mar. 31, 2000
PBX and Analog Lines Security Assessment (PDF), Audit No. 309 Mar. 31, 2000
Edgar Hardship Exemptions (PDF), Audit No. 308 Mar. 30, 2000
Benchmarking Commission Procedures (PDF), Audit No. 310 Mar. 17, 2000
Data Back-Up Procedures (PDF), Audit No. 299 Mar. 9, 2000
Review of Periodic Reports (PDF), Audit No. 298 Feb. 23, 2000
1999
Year 2000 Certification & Contingency Planning Activities (PDF), Audit No. 312 Dec. 10, 1999
Investor and Small Business Town Meetings (PDF), Audit No. 303 Nov. 18, 1999
Midwest Regional Office (PDF), Audit No. 307 Oct. 29, 1999
Semiannual Report to Congress, April 1, 1999 to September 30, 1999 (PDF)
Procurement and Contracting (PDF), Audit No. 290 Sep. 21, 1999
Unix Security (PDF), Audit No. 296 Sep. 14, 1999
Advance Commitment Program (PDF), Audit Memorandum No. 19 Aug. 26, 1999
Oversight of Self-Regulatory Organization Arbitration (PDF), Audit No. 289Aug. 24, 1999
Reporting the Case Origins of Enforcement Investigations (PDF), Audit Memorandum No. 18 Jul. 19, 1999
Commissioners' Travel (PDF), Audit No. 294 Jun. 8, 1999
Acknowledgment Letters for the Branch of Public Reference (PDF), Audit Memorandum No. 17 Jun. 8, 1999
Help Desk (PDF), Audit Memorandum No. 13 May 27, 1999
Survey of Sensitive Information (PDF), Audit No. 277 May 3, 1999
Semiannual Report to Congress, October 1, 1998 to March 31, 1999
Enforcement Action Memoranda, Audit No. 276 Mar. 18, 1999
GPRA Performance Measures (PDF), Audit No. 283 Mar. 16, 1999
1998
Philadelphia District Office, Audit No. 286 Dec. 29, 1998
International Technical Assistance, Audit No. 284 Oct. 27, 1998
Boston District Office, Audit No. 287 Oct. 23, 1998
Semiannual Report to Congress, April 1, 1998 to September 30, 1998
GPRA Performance Measures, Audit No. 283 Aug. 24, 1998
Year 2000 Compliance Efforts, Audit No. 285 Aug. 24, 1998
Commission Review of SRO Rules, Audit No. 272 Jul. 14, 1998
Procurement and Contracting, Audit No. 290 Jun. 26, 1998
Review of Investment Company Filings, Audit No. 273 Jun. 26, 1998
Travel Upgrades, Audit No. 281 Jun. 5, 1998
Commissioners' Travel, Audit No. 280 May 26, 1998
Oversight of SRO Automation, Audit No. 268 May 18, 1998
Semiannual Report to Congress, October 1, 1997 to March 31, 1998
San Francisco District Office, Audit No. 278 Mar. 30, 1998
Fort Worth District Office, Audit No. 279 Mar. 30, 1998
Payroll System, Audit No. 263 Mar. 30, 1998
Compliance Inspections and Examinations , Audit No. 254 Mar. 18, 1998
Investigative Report on Management Issues, OIG-248 Feb. 25, 1998
Comment Letter Process, Audit No. 259 Feb. 2, 1998
Northeast Regional Office, Audit No. 270 Jan. 13, 1998
Audit of Database Administration, Audit No. 269 Jan. 5, 1998
1997
Semiannual Report to Congress, April 1, 1997 to September 30, 1997
Commercial Credit Card Program, Audit No. 258 Sep. 30, 1997
Automation of Records Management, Audit No. 262 Sep. 29, 1997
Salt Lake District Officet, Audit No. 265 Sep. 20, 1997
Commission Integrity Program, Audit No. 267 Sep. 9, 1997
Client Server, Audit No. 257 Sep. 9, 1997
Central Regional Office Administrative and Financial Controls, Audit No. 264 Jul. 18, 1997
Value Engineering (VE) Program, Audit No. 260 May 2, 1997
Semiannual Report to Congress, October 1, 1996 to March 31, 1997
Atlanta District Office Administrative and Financial Controls, Audit No. 256 Mar. 21, 1997
Office of Filings & Information Services, Audit No. 244 Mar. 20, 1997
SECOA Local Area Network, Audit No. 243 Mar. 6, 1997
Space Management - Operations Center and Annex, Audit No. 249 Feb. 12, 1997
Survey of the Economic Analysis Program, Audit No. 251 Feb. 7, 1997
Enhancing Excellence - Integrity Program, Audit No. 250 Jan. 22, 1997
Enforcement Surveillance of Markets, Audit No. 246 Jan. 7, 1997
1996
Equal Employment Opportunity Office, Audit No. 224 Nov. 2, 1996
Regulation of Insurance Products, Audit No. 242 Oct. 15, 1996
Semiannual Report to Congress, April 1, 1996 to September 30, 1996
Headquarters Fitness Center, Audit No. 247 Sep. 30, 1996
Survey of Reported Management Control Weaknesses, Audit No. 252 Sep. 9, 1996
International Telephone Service, Audit No. 238 Aug. 27, 1996
Transportation Subsidy Program, Audit No. 237 Aug. 21, 1996
Selection of Filings for Review, Audit No. 229 Aug. 1, 1996
Enforcement Administrative Functions, Audit No. 233 May 15, 1996
Information Technology Cost Savings, Audit No. 236 May 9, 1996
Semiannual Report to Congress, October 1, 1995 to March 31, 1996
40 Act Exemptive Applications, Audit No. 230 Mar. 29, 1996
IRM Planning and Execution, Audit No. 220 Mar. 26, 1996
Collection of Filing Fees, Audit No. 225 Feb. 8, 1996
Interagency Agreements, Audit No. 228 Feb. 1, 1996
1995
Semiannual Report to Congress, April 1, 1995 to September 30, 1995
Controls of Negotiated Settlements, Audit No. 218 Sep. 20, 1995
Contingency Plans for PABX and Datacenter, Audit No. 226 Jul. 31, 1995
Survey of Personnel Management, Audit No. 222 Jun. 15, 1995
Semiannual Report to Congress, October 1, 1994 to March 31, 1995
Market Contingency Preparedness, Audit No. 200 Feb. 9, 1995
Survey of Information Technology, Audit No. 214 Feb. 7, 1995
1995 Audit of Midwest Regional Office, Audit No. 216 Feb. 2, 1995
Contractor Lobbying Statute - 1994, Audit No. 223 Jan. 17, 1995
1994
1995 Audit on Southeast Regional Office, Audit No. 212 Dec. 31, 1994
Office of Space Renovation, Audit No. 221 Dec. 28, 1994
1995 Audit on Filing Activiiity Tracking System, Audit No. 213 Dec. 12, 1994
Semiannual Report to Congress, April 1, 1994 to September 30, 1994
Semiannual Report to Congress, October 1, 1993 to March 31, 1994

 

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Modified: 12/03/2008