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 Summaries, Press Releases and Reports - OIG investigations focus on allegations of wrongdoing or misconduct involving SEC programs, operations, or personnel. The OIG issues reports or summaries on its investigative findings to management for consideration of disciplinary or remedial action. In lieu of an investigative report or summary; the OIG may issue a press release to highlight achievements by the staff or as a result of collaboration with other Law Enforcement partners.

Peer Reviews - Peer review reports.

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