Office of Investigations Overview
The Office of Investigations (OI) is a federal law enforcement component responsible for investigating allegations of criminal, civil, and administrative misconduct relating to SEC programs, operations, and personnel. The subject of an investigation may be an SEC employee, contractor, consultant, or any person or entity involved in alleged wrongdoing affecting or defrauding the Agency and its mission. OI investigative findings may result in criminal prosecutions, fines, civil penalties, administrative sanctions, and/or personnel actions. OI’s special agents conduct investigations in accordance with the CIGIE Quality Standards for Investigations and applicable guidelines issued by the United States Attorney General for criminal investigators with statutory law enforcement authority.
OI is committed to ensuring that its investigations are independent, fair, thorough, and timely. In conducting investigations, OI works closely with SEC divisions and offices and other law enforcement agencies and components. We partner with DOJ, including prosecutors at Main Justice and United States Attorney’s Offices around the country. We also work with authorities around the world. In addition to holding bad actors accountable, when OI discovers vulnerabilities or internal control deficiencies, we promptly report these issues to SEC management for corrective actions.
Managing the OIG Hotline is a critical OI responsibility. The Hotline, which is available to receive and process allegations and complaints about fraud, waste, abuse, or other corruption related to SEC programs, operations, and personnel 24 hours a day, 7 days a week, allows individuals to report their allegations to us directly and confidentially, secure in the knowledge that we will protect their identity consistent with the IG Act.
Last Reviewed or Updated: Sept. 15, 2025