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, and Other 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 Summaries, Press Releases and Reports - The OIG’s Office of Investigations (OI) prioritizes investigations into the operational integrity of the SEC’s mission, public corruption, and major fraud. OI focuses on allegations of criminal conduct and serious misconduct involving SEC programs, operations, or personnel. OI, in coordination with prosecutors, issues press releases on public criminal, civil, and administrative matters. OI also publishes anonymized summaries of investigative findings after referring to SEC management reports of investigation for consideration of administrative action. These reports can be found here.

Peer Reviews - Peer review reports.

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