Office of Inspector General Reports & Publications

The Office of Inspector General may produce a report following independent and objective audits, evaluations, and other reviews of SEC programs and operations, or after conducting independent and objective investigations of potential criminal, civil, and administrative violations that undermine the ability of the SEC to accomplish its statutory mission.

Audit & Evaluation Reports - OIG audits and evaluations increase accountability and transparency in SEC programs or operations. The OIG issues independent reports that identify deficiencies or inefficiencies and make recommendations to correct them.

Investigative Reports - OIG investigations focus on allegations of wrongdoing or misconduct involving SEC programs, operations, or personnel. The OIG issues reports on its investigative findings to management for consideration of disciplinary or remedial action.

Investigative Memoranda - In lieu of an investigative report, the OIG may issue a memorandum to appropriate management officials making recommendations based on the findings of its investigation.

Other Publications - Examples of DOJ press releases involving the work of the SEC OIG as well as peer review reports and other OIG reviews, policies, or recommendations.

Testimony - Published written testimony provided to Congress by an SEC Inspector General or Deputy Inspector General.