Audit, Evaluation, and Other Reports
July 8, 2015
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- 2026
- 2025
- September 29, 2025
Observations on the SEC’s Rulemaking Process, Report No. 588 - September 3, 2025
Special Review: Avoidable Errors Led to the Loss of Former SEC Chair Gary Gensler’s Text Messages, Report No. 587 - August 26, 2025
Improved Documentation and Guidance Can Help Strengthen Corporation Finance’s Disclosure Review Program, Report No. 586 - June 24, 2025
Final Management Letter: Potential Opportunity to Consolidate the SEC’s Disclosure Review Information Technology Systems - May 14, 2025
Final Management Letter: Audit of the SEC’s Efforts to Recruit and Retain a Highly Skilled Workforce and Address Related Challenges - March 31, 2025
Additional Oversight and Monitoring of the SEC’s CAT Usage Is Needed, Report No. 585 - March 11, 2025
Final Management Letter: Evaluation of the SEC’s FY 2024 Compliance with the Payment Integrity Information Act of 2019
- September 29, 2025
- 2024
- November 25, 2024
Fiscal Year 2024 Independent Evaluation of the SEC’s Implementation of the FISMA of 2014, Report No. 584 - September 23, 2024
Enhanced Planning, Performance Measurement and Evaluation, and Information Can Improve Oversight of Broker-Dealer Examinations, Report No. 583 - August 26, 2024
The SEC Missed Opportunities to Lower Contract Risk and More Effectively Manage Time-and-Materials Contracts, Report No. 582 - March 19, 2024
Final Management Letter: Evaluation of the SEC’s FY 2023 Compliance With the Payment Integrity Information Act of 2019 - January 29, 2024
Opportunities Exist to Strengthen the SEC’s Office of Equal Employment Opportunity Programs and Operations, Report No. 581
- November 25, 2024
- 2023
- December 20, 2023
Fiscal Year 2023 Independent Evaluation of the SEC’s Implementation of the Federal Information Security Modernization Act of 2014, Report No. 580 - September 27, 2023
Final Management Letter: Readiness Review – The SEC’s Progress Toward Implementing Zero Trust Cybersecurity Principles - July 25, 2023
The SEC Took Appropriate Workplace Safety Actions in Accordance With Pandemic Guidance But Could Improve Communications, Report No. 579 - May 5, 2023
Evaluation of the SEC’s FY 2022 Compliance With the Payment Integrity Information Act of 2019, Report No. 578 - April 14, 2023
Final Management Letter: Review of SEC Controls Over Public Comments Submitted Online and Actions Taken in Response to a Known Error - February 28, 2023
The SEC Supported Federal Small Business Contracting Objectives, Yet Could Make Better Use of Data and Take Other Actions To Further Promote Small Business Contracting, Report No. 577 - February 15, 2023
Enforcement Investigations: Measures of Timeliness Showed Some Improvement But Enforcement Can Better Communicate Capabilities for Expediting Investigations and Improve Internal Processes, Report No. 576 - January 23, 2023
Inspector General's FY 2022 Letter to OMB on SEC's Implementation of Purchase Card Program Audit Recommendations
- December 20, 2023
- 2022
- December 19, 2022
SEC’s Whistleblower Program: Additional Actions Are Needed To Better Prepare for Future Program Growth, Increase Efficiencies, and Enhance Program Management, Report No. 575 - November 15, 2022
Fiscal Year 2022 Independent Evaluation of the SEC’s Implementation of the Federal Information Security Modernization Act of 2014, Report No. 574 - September 29, 2022
Final Management Letter: Changes to the Internal Review Process for Proposed Rules May Impact the Office of the Advocate for Small Business Capital Formation and the Office of the Investor Advocate - August 30, 2022
OASB Complied With Statutory Requirements But Can Improve As It Matures, Report No. 573 - July 13, 2022
Results of the Inspector General’s Fiscal Year 2021 Purchase and Travel Card Program Risk Assessment - June 22, 2022
Final Management Letter: Evaluation of the SEC’s FY 2021 Compliance With the Payment Integrity Information Act of 2019 - February 28, 2022
The SEC Can Improve in Several Areas Related to Hiring, Report No. 572 - January 26, 2022
Inspector General's FY 2021 Letter to OMB on SEC's Implementation of Purchase Card Program Audit Recommendations - January 25, 2022
Registered Investment Adviser Examinations: EXAMS Has Made Progress To Assess Risk and Optimize Limited Resources, But Could Further Improve Controls Over Some Processes, Report No. 571
- December 19, 2022
- 2021
- December 21, 2021
Fiscal Year 2021 Independent Evaluation of the SEC’s Implementation of the Federal Information Security Modernization Act of 2014, Report No. 570 - October 28, 2021
Audit of the SEC’s Compliance With the Digital Accountability and Transparency Act for Fiscal Year 2021, Report No. 569 - September 29, 2021
Additional Steps Are Needed For the SEC To Implement a Well-Defined Enterprise Architecture, Report No. 568 - September 17, 2021
DERA Staff Research and Publications Support the SEC’s Mission, But Related Controls and Agency-wide Communication and Coordination Could Be Improved, Report No. 567 - August 3, 2021
Final Management Letter: Review of the SEC's Compliance With CISA ED 21-01 and Initial Response to the SolarWinds Compromise - May 24, 2021
Final Management Letter: Actions May Be Needed To Improve Processes for Receiving and Coordinating Investor Submissions - March 19, 2021
Final Management Letter: Evaluation of SEC’s FY 2020 Compliance With the Payment Integrity Information Act of 2019 - February 24, 2021
The SEC Can Further Strengthen the Tips, Complaints, and Referrals Program, Report No. 566 - February 24, 2021
The SEC Has Taken Steps to Strengthen Its Monitoring of ISS Contractor’s Performance, But Additional Actions Are Needed, Report No. 565 - January 26, 2021
Inspector General's FY 2020 Letter to OMB on SEC's Implementation of Purchase Card Program Audit Recommendations - January 13, 2021
The SEC's OIEA Could Benefit From Increased Coordination, Additional Performance Metrics, and Formal Strategic Planning, Report No. 564
- December 21, 2021
- 2020
- December 21, 2020
Fiscal Year 2020 Independent Evaluation of SEC’s Implementation of the Federal Information Security Modernization Act of 2014, Report No. 563 - September 30, 2020
Opportunities Exist To Improve the SEC’s Management of Mobile Devices and Services, Report No. 562 - April 27, 2020
Evaluation of the SEC’s FY 2019 Compliance with the Improper Payments Elimination and Recovery Act of 2010, Report No. 561 - March 31, 2020
Results of the Inspector General’s Fiscal Year 2019 Purchase Card Program Risk Assessment - March 30, 2020
Controls Over the SEC’s Travel Charge Card Program Could Be Strengthened To More Fully Comply With Requirements and Maximize Benefits, Report No. 560 - February 26, 2020
The SEC’s Office of Broker-Dealer Finances Provides Effective Oversight, But Opportunities to Improve Efficiency Exist, Report No. 559
- December 21, 2020
- 2019
- December 19, 2019
Inspector General's FY 2019 Letter to OMB on SEC's Implementation of Purchase Card Program Audit Recommendations - December 18, 2019
Fiscal Year 2019 Independent Evaluation of SEC’s Implementation of the Federal Information Security Modernization Act of 2014, Report No. 558 - December 17, 2019
Final Management Letter: Evaluation of the U.S. Securities and Exchange Commission’s Delinquent Filings Program - November 7, 2019
The SEC Can More Strategically and Securely Plan, Manage, and Implement Cloud Computing Services, Report No. 556 - November 4, 2019
Audit of the SEC’s Compliance With the Digital Accountability and Transparency Act for Fiscal Year 2019, Report No. 557 - September 19, 2019
The SEC Has Processes to Manage Information Technology Investments But Improvements Are Needed, Report No. 555 - May 31, 2019
The SEC Can Better Manage Administrative Aspects of the ISS Contract, Report No. 554 - May 23, 2019
Final Management Letter: Update on the SEC’s Progress Toward Redesigning the Electronic Data Gathering, Analysis, and Retrieval System - April 29, 2019
Although Highly Valued by End Users, DERA Could Improve Its Analytics Support by Formally Measuring Impact, Where Possible, Report No. 553 - March 4, 2019
Results of the Inspector General’s Fiscal Year 2018 Purchase Card Program Risk Assessment - February 14, 2019
The SEC’s Compliance with Improper Payments Requirements for Fiscal Year 2018
- December 19, 2019
- 2018
- December 17, 2018
Fiscal Year 2018 Independent Evaluation of SEC’s Implementation of the Federal Information Security Modernization Act of 2014, Report No. 552 - November 27, 2018
Inspector General's FY 2018 Letter to OMB on SEC's Implementation of Purchase Card Program Audit Recommendations - September 24, 2018
TCP Established Method To Effectively Oversee Entity Compliance With Regulation SCI But Could Improve Aspects of Program Management, Report No. 551 - September 21, 2018
Evaluation of the EDGAR System’s Governance and Incident Handling Processes, Report No. 550 - September 11, 2018
The SEC Made Progress But Work Remains To Address Human Capital Management Challenges and Align With the Human Capital Framework, Report No. 549 - September 11, 2018
The SEC Should Take Action to Strengthen Its Management of Electronic Information Sources, Data Sources, and Print Materials, Report No. 548 - June 15, 2018
Audit of the SEC’s Internal Controls for Retaining External Experts and Foreign Counsel for the Division of Enforcement, Report No. 547 - March 30, 2018
Audit of the SEC’s Compliance With the Federal Information Security Modernization Act for Fiscal Year 2017, Report No. 546 - March 28, 2018
Results of the Inspector General’s Fiscal Year 2017 Purchase Card Program Risk Assessment - March 23, 2018
Inspector General’s Report on the U.S. Securities and Exchange Commission’s Fiscal Year 2017 Compliance with the Improper Payments Information Act
- December 17, 2018
- 2017
- November 28, 2017
Inspector General's FY 2017 Letter to OMB on SEC's Implementation of Purchase Card Program Audit Recommendations - November 7, 2017
Audit of the SEC’s Compliance with the Digital Accountability and Transparency Act for Fiscal Year 2017, Report No. 545 - September 29, 2017
Audit of the SEC’s Management of Its Data Centers, Report No. 543 - September 28, 2017
Audit of the SEC’s Progress in Enhancing and Redesigning the Electronic Data Gathering, Analysis, and Retrieval System, Report No. 544 - September 13, 2017
Evaluation of the Division of Corporation Finance’s Disclosure Review and Comment Letter Process, Report 542 - July 21, 2017
Audit of the Office of Compliance Inspections and Examinations’ Investment Adviser Examination Completion Process, Report No. 541 - May 31, 2017
Final Management Letter: Progress on the SEC’s Tips, Complaints, and Referrals Intake and Resolution System Redesign and Vulnerability Remediation Efforts - March 27, 2017
Audit of the Division of Corporation Finance’s Management of Requests for No-Action and Interpretive Letters, Exemptions, and Waivers, Report No. 540 - March 27, 2017
Results of Inspector General's Fiscal Year 2016 Purchase Card Program Risk Assessment - March 22, 2017
Inspector General's Review of the SEC's FY 2016 Compliance with the Improper Payments Information Act - March 7, 2017
Audit of the SEC’s Compliance with the Federal Information Security Modernization Act for Fiscal Year 2016, Report No. 539 - January 11, 2017
Inspector General's FY 2016 Letter to OMB on SEC's Implementation of Purchase Card Program Audit Recommendations
- November 28, 2017
- 2016
- November 2, 2016
Final Management Letter - Readiness Review of the SEC's Progress Toward Compliance with the DATA Act of 2014 - September 30, 2016
Audit of the SEC's Information Technology Requirements-Gathering Process, Report No. 538 - September 23, 2016
Audit of the SEC’s Process for Reviewing Self-Regulatory Organizations’ Proposed Rule Changes, Report No. 537 - August 19, 2016
Final Closeout Memorandum: Audit of the SEC's Hiring Practices - August 11, 2016
Inspector General's Report on Covered Systems - June 30, 2016
Final Management Letter: Evaluation of the SEC Division of Enforcement's Coordination Related to a Federal Civil Action - June 22, 2016
Management of the SEC’s Protective Security Force Contract Needs Improvement, Report No. 536 - June 2, 2016
Audit of the SEC’s Compliance with the Federal Information Security Modernization Act for Fiscal Year 2015, Report No. 535 - March 31, 2016
Audit of the SEC's Student Loan Repayment Program, Report No. 534 - March 31, 2016
Results of Inspector General’s Fiscal Year 2015 Purchase Card Program Risk Assessment - March 10, 2016
Office of Compliance Inspections and Examinations' Management of Investment Adviser Examination Coverage Goals, Report No. 533 - February 11, 2016
Improvements Needed in Oversight of SEC-Sponsored Conferences, Report No. 532 - February 9, 2016
Inspector General's Review of the SEC's FY 2015 Compliance with the Improper Payments Information Act - January 5, 2016
Inspector General's FY 2015 Letter to OMB on SEC's Implementation of Purchase Card Program Audit Recommendations
- November 2, 2016
- 2015
- September 30, 2015
Improvements Needed in the Division of Enforcement's Oversight of Fund Administrators, Report No. 531 - September 25, 2015
Review of Non-Career Officials' Involvement in the SEC's FOIA Response Process - September 18, 2015
Audit of the SEC's Contracting Officer's Representative Program, Report No. 530 - July 6, 2015
Final Management Letter: Evaluation of the SEC's Use of the Reserve Fund - May 20, 2015
Final Management Letter: Observations Noted During TCR System Audit Support Engagement - February 24, 2015
Results of Inspector General's Fiscal Year 2014 Purchase Card Program Risk Assessment - February 5, 2015
Federal Information Security Management Act: Fiscal Year 2014 Evaluation, Report No. 529 - January 21, 2015
Inspector General's Review of the SEC's FY 2014 Compliance with the Improper Payments Information Act - January 13, 2015
Inspector General's FY 2014 Letter to OMB on SEC's Implementation of Purchase Card Program Audit Recommendations
- September 30, 2015
- 2014
- December 10, 2014
Audit of the Office of the Ethics Counsel’s Oversight of Employee Securities Holdings, Report No. 527 - November 20, 2014
Audit of the Representation of Minorities and Women in the SEC’s Workforce, Report No. 528 - September 30, 2014
Analysis of the SEC's Compliance with Conference Approval and Reporting Requirements for Fiscal Year 2014 - September 22, 2014
Controls Over the SEC's Inventory of Laptop Computers, Report No. 524 - August 1, 2014
Audit of the SEC’s Physical Security Program, Report No. 523 - May 30, 2014
Review of the SEC’s Practices for Sanitizing Digital Information System Media, Report No. 521 - March 31, 2014
Federal Information Security Management Act: Fiscal Year 2013 Evaluation, Report No. 522 - March 28, 2014
Controls Over the SEC’s Government Purchase Card Program, Report No. 517 - February 24, 2014
Inspector General’s Review of the U.S. Securities and Exchange Commission’s Fiscal Year 2013 Compliance with the Improper Payments Information Act - January 27, 2014
Inspector General's FY 2013 Letter to OMB on SEC's Implementation of Purchase Card Program Audit Recommendations
- December 10, 2014
- 2013
- September 3, 2013
Library of Congress Office of Inspector General System Review Report, Report No. 520 - June 6, 2013
Use of the Current Guidance on Economic Analysis in SEC Rulemakings, Report No. 518 - June 6, 2013
Implementation of the Current Guidance on Economic Analysis in SEC Rulemakings, Report No. 516 - March 29, 2013
Audit of SEC’s Controls over Support Service, Expert and Consulting Service Contracts, Report No. 513 - March 29, 2013
Audit of the SEC’s Filing Fees Program, Report No. 514 - March 29, 2013
2012 FISMA Executive Summary, Report No. 512 - March 27, 2013
Review of the SEC’s Systems Certification and Accreditation Process, Report No. 515 - March 25, 2013
SEC’s Controls Over Sensitive/Nonpublic Information Collected and Exchanged With the Financial Stability Oversight Council and Office of Financial Research, Report , Report No. 509 - March 11, 2013
Inspector General’s Review of the U.S. Securities and Exchange Commission’s Fiscal Year 2012 Compliance with the Improper Payments Elimination and Recovery Act - January 18, 2013
Evaluation of the SEC's Whistleblower Program, Report No. 511
- September 3, 2013
- September 30, 2012
SEC’s Records Management Practices, Report No. 505 - September 30, 2012
The Office of International Affairs Internal Operations and Travel Oversight, Report No. 508 - April 23, 2012
Review of the SEC’s Continuity of Operations Program, Report No. 502 - March 29, 2012
Inspector General’s Review of the U.S. Securities and Exchange Commission’s Fiscal Year 2011 Compliance with the Improper Payments Elimination and Recovery Act - March 28, 2012
SEC's Use of Justifications and Approvals in Sole-Source Contracting, Report No. 507 - March 28, 2012
SEC's Controls Over Government Furnished Equipment and Contractor Acquired Property, Report No. 503 - March 16, 2012
Assessment of SEC's System and Network Logs, Report No. 500 - February 2, 2012
2011 Annual FISMA Executive Summary Report, Report No. 501 - January 27, 2012
Follow-Up Review of Cost-Benefit Analyses in Selected SEC Dodd-Frank Act Rulemakings, Report No. 499
- September 30, 2012
- 2011
- September 30, 2011
Assessment of the Office of Investor Education and Advocacy’s Functions, Report No.498 - September 28, 2011
Review of Alternative Work Arrangements, Overtime Compensation, and COOP-Related Activities at the SEC, Report No.491 - August 11, 2011
Assessment of SEC’s Continuous Monitoring Program, Report No.497 - August 2, 2011
Audit of SEC’s Employee Recognition Program and Recruitment, Relocation, and Retention Incentives, Report No.492 - July 18, 2011
Review of SEC Contracts for Inclusion of Language Addressing Privacy Act Requirements, Report No.496 - June 29, 2011
Oversight of and Compliance with Conditions and Representations Related to Exemptive Orders and No-Action Letters, Report No.482 - June 15, 2011
Establishment of the Office of Minority and Women Inclusion - June 13, 2011
Report of Review of Economic Analyses Performed by the Securities and Exchange Commission in Connection with Dodd-Frank Act Rulemakings - March 31, 2011
The SEC’s Implementation of and Compliance with Homeland Security Presidential Directive 12, Report No.481 - March 30, 2011
SEC’s Oversight of the Securities Investor Protection Corporation’s Activities, Report No.495 - March 30, 2011
OCIE Regional Offices’ Referrals to Enforcement, Report No. 493. - March 29, 2011
Audit of the SEC Budget Execution Cycle, Report No. 488. - March 17, 2011
Review of Commission Activities in U.S. Territories and Republics - March 3, 2011
2010 Annual FISMA Executive Summary Report, Report No. 489.
- September 30, 2011
- 2010
- December 23, 2010
Review of Select Time-and-Materials and Labor-Hour Contracts (PDF), Report No. 487 - September 30, 2010
Real Property Leasing Procurement Process (PDF), Report No. 484 - September 30, 2010
Review of PRISM Automated Procurement System Support Contracts (PDF), Report No. 486 - September 29, 2010
Assessment of the SEC’s Privacy Program (PDF), Report No. 485 - September 29, 2010
Assessment of Corporation Finance’s Confidential Treatment Processes and Procedures (PDF), Report No. 479 - September 27, 2010
Review of the SEC’s Section 13(f) Reporting Requirements (PDF), Report No. 480 - September 22, 2010
Audit of the FedTraveler Travel Service (PDF), Report No. 483 - May 7, 2010
National Credit Union Administration System Review Report (PDF), Report No. 478 - March 29, 2010
Assessment of the SEC's Bounty Program (PDF), Report No. 474 - March 26, 2010
Evaluation of the SEC Encryption Program (PDF), Report No. 476 - March 26, 2010
Evaluation of the SEC Privacy Program (PDF), Report No. 475 - March 26, 2010
2009 FISMA Executive Summary Report (PDF), Report No. 472 - March 26, 2010
Assessment of the SEC Information Technology Investment Process (PDF), Report No. 466 - March 26, 2010
Management and Oversight of Interagency Acquisition Agreements at the SEC (PDF), Report No. 460 - March 1, 2010
Management Alert – Data Security Vulnerabilities (PDF), Report No. 477
- December 23, 2010
- 2009
- November 19, 2009
Review of the Commission’s Processes for Selecting Investment Advisers and Investment Companies for Examination (PDF), Report No. 470 - September 29, 2009
Program Improvements Needed Within the SEC’s Division of Enforcement (PDF), Report No. 467 - September 29, 2009
Review and Analysis of OCIE Examinations of Bernard L. Madoff Investment Securities, LLC (PDF), Report No. 468 - September 25, 2009
Audit of the Office of Acquisitions' Procurement and Contract Management Functions (PDF), Report No. 471 - September 25, 2009
Review of the SEC's Compliance with the Freedom of Information Act (PDF), Report No. 465 - August 27, 2009
The SEC's Role Regarding and Oversight of Nationally Recognized Statistical Rating Organizations (NRSROs) (PDF), Report No. 458 - August 10, 2009
Management Alert - Microsoft Premier Support Services Contract (PDF), Report No. 469 - March 31, 2009
Review of the Commission’s Restacking Project (PDF), Report No. 461 - March 31, 2009
Regulation D Exemption Process(PDF), Report No. 459 - March 27, 2009
Audit of Public Transportation Benefit Program (PDF), Report No. 456 - March 27, 2009
2008 Audit of Sensitive Payments, (PDF), Report No. 448 - March 24, 2009
OASIS System Report - 2008 FISMA (PDF), Report No. 463 - March 18, 2009
Practices Related to Naked Short Selling Complaints and Referrals (PDF), Report No. 450 - February 27, 2009
CTR System Report – 2008 FISMA (PDF), Report No. 462 - Feb. 3, 2009
Division of Enforcement's Disgorgement Waivers (PDF), Report No. 452
- November 19, 2009
- 2008
- Sep. 30, 2008
Inspection of Corporation Finance Referrals (PDF), Report No. 433 - Sep. 29, 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. 25, 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. 18, 2008
Internal Control Review of the Government Purchase Card Program (PDF), Report No. 440 - Sep. 16, 2008
Enforcement Policies and Procedures for the Selection of Receivers, Administrators and Consultants (PDF), Report No. 454 - Mar. 31, 2008
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. 28, 2008
Usefulness of IM's Website (PDF), Inspection Report No. 436 - Mar. 28, 2008
Background Investigations (PDF), Inspection Report No. 434 - Mar. 27, 2008
Student Loan Program (PDF), Report No. 439
- Sep. 30, 2008
- 2007
- Dec. 12, 2007
Oversight of Receivers and Distribution Agents (PDF), Evaluation No. 432 - Sep. 25, 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 - Jul. 25, 2007
Electronic Documents Program (PDF), Audit No. 428 - Mar. 30, 2007
Backlog of FOIA Requests For Comment Letters (PDF), Audit No. 422 - Mar. 28, 2007
Audit of Full Disclosure Program's Staff Interpretive Guidance Process (PDF), Audit No. 416 - Feb. 8, 2007
Enforcement Performance Management (PDF), Audit No. 423
- Dec. 12, 2007
- Nov. 14, 2006
Information Technology Management in Enforcement (PDF), Audit No. 405 - Sep. 29, 2006
Personnel Files (PDF), (Inspection No. 419) - Sep. 29, 2006
IM Exemptive Application Processing (PDF), Audit No. 408 - Sep. 28, 2006
Audit of Oversight of PCAOB (PDF), Audit No. 412 - Jun. 22, 2006
Preliminary Review of Filings (PDF), Audit No. 401 - Jun. 8, 2006
Conflict of Interest Controls in Procurement (PDF), Audit No. 404 - Apr. 21, 2006
Continuity of Operations Planning (PDF), Audit No. 413
- Feb. 14, 2006
Pacific Regional Office (PDF), Audit No. 414 - Jan. 25, 2006
Disgorgements and Penalty Payments (PDF), Audit No. 403
- Nov. 14, 2006
- 2005
- Sep. 30, 2005
IT Security Certification and Accreditation Process (PDF), Audit No. 411 - Sep. 30, 2005
Security Certification and Accreditation of EFOIA (PDF), Audit No. 410 - Sep. 20, 2005
Office of the Secretary (PDF), Audit No. 402 - Aug. 26, 2005
Recruitment, Classification, and Staffing (PDF), Audit No. 389 - Jul. 14, 2005
Operations Center Building Security (PDF), Audit No. 39 - May 31, 2005
Field Offices' Integrity Program (PDF), Audit No. 395 - Mar. 29, 2005
Planning Investment Management Filing Reviews (PDF), Audit No. 387 - Mar. 24, 2005
Software Management (PDF), Audit No. 393 - Jan. 18, 2005
Enforcement Disgorgement Waivers (PDF), Audit No. 384
- Sep. 30, 2005
- 2004
- Dec. 20, 2004
Midwest Regional Office (PDF), Audit No. 388 - Dec. 20, 2004
Northeast Regional Office (PDF), Audit No. 386 - Dec. 3, 2004
Forth Worth District Office (PDF), Audit No. 396 - Dec. 2, 2004
Salt Lake District Office (PDF), Audit No. 397 - Sep. 10, 2004
Federal Information Security Management Act (PDF), Audit No. 391 - Sep. 13, 2004
Document Imaging System (PDF), Audit Memorandum No. 38 - Sep. 30, 2004
Atlanta District Office (PDF), Audit No. 390 - Sep. 29, 2004
Targeting IA/IC Compliance Examinations (PDF), Audit No. 383 - Jun. 25, 2004
Independent Evaluation And Assessment of Internal Control for Contract Oversight (PDF), Audit No. 380 - Sep. 14, 2004
Disclosure Filings Examination and Accounting Reports (PDF), Audit No. 378 - Jun. 29, 2004
Office of Economic Analysis (PDF), Audit No. 385 - Apr. 15, 2004
Enterprise Architecture (PDF), Audit No. 381 - Mar. 31, 2004
Lost and Stolen Securities Program (PDF), Audit No. 377 - Mar. 31, 2004
Inappropriate Release of Non-Public Information (PDF), Audit Memorandum No. 37 - Mar. 29, 2004
Priority to Rural Areas for New Offices (PDF), Audit Memorandum No. 36 - Mar. 29, 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 - Feb. 12, 2004
Central Regional Office (PDF), Audit No. 382 - Feb. 10, 2004
Commission-Wide Use of X-Ray Scanners (PDF), Audit Memorandum No. 35 - Jan. 22, 2004
Discounted Airfare Tickets (PDF), Audit Memorandum No. 34
- Dec. 20, 2004
- 2003
- Nov. 17, 2003
Telephone Calling Card Program (PDF), Audit No. 376 - Nov. 17, 2003
Unclaimed Commission Property (PDF), Audit Memorandum No. 33 - Oct. 20, 2003
Regulation of Public Utility Holding Companies (PDF), Audit No. 372 - Sep. 29, 2003
Report of Changes in Independent Accountants, Audit Memorandum No. 32 - Sep. 25, 2003
San Francisco District Office, Audit No. 374 - Sep. 23, 2003
Compliance Examination Deficiency Letter Process, Audit No. 364 - Aug. 21, 2003
Contract for Temporary Clerical Services, Audit Memorandum No. PI03-25 - Jul. 31, 2003
SEC Recreation and Welfare Association Financial Management, Audit No. 368 - Jun. 24, 2003
Updated Personnel Guidance, Audit Memorandum No. 28 - Jun. 19, 2003
Priority to Location of New Offices in Rural Areas, Audit Memorandum No. 30 - May 13, 2003
Boston District Office, Audit No. 370 - Southeast Regional Office, Audit No. 369
- May 13, 2003
Statutory Disqualification Review Process, Audit No. 363 - Mar. 17, 2003
Deterring Securities Recidivism, Audit No. 360 - Apr. 29, 2003
Facility Access Control Systems, Audit Memorandum No. 29 - Jan. 31, 2003
Independent Accountant's Report, Audit No. 362 - Jan. 31, 2003
Bankruptcy Program, Audit No. 355 - Jan. 29, 2003
Password Management for the Name Relationship Search Inquiry (NRSI) System, Audit Memorandum No. 27 - Jan. 27, 2003
Market Contingency Preparedness, Audit No. 359 - Jan. 24, 2003
Philadelphia District Office, Audit No. 366 - Jan. 15, 2003
Edgar Utility to Commission Staff, Audit No. 351 - Jan. 13, 2003
Enforcement Internet Program, Audit No. 352
- Nov. 17, 2003
- 2002
- Dec. 16, 2002
Administration of Information Technology Contracts, Audit No. 350 - Nov. 25, 2002
Purchase Cards, Audit No. 357 - Sep. 30, 2002
Continuity of Operations Planning (COOP), Audit Memorandum No. 26 - Sep. 10, 2002
Program Officials' Information Security Responsibilities, Audit Memorandum No. 24 - Aug. 28, 2002
Commission Web Security, Audit No. 361 - Aug. 19, 2002
Regional Telecommunication Security, Audit No. 353 - Aug. 13, 2002
Broker-Dealer Risk Assessment Program, Audit No. 354 - Aug. 14, 2002
Collection of Filing Fees, Audit No. 348 - Aug. 8, 2002
Travel Management, Audit No. 349 - Jul. 12, 2002
Rulemaking Process, Audit No. 347 - Jul. 7, 2002
Security of External Databases, Audit Memorandum No. 25 - Jun. 4, 2002
Recreation and Welfare Association's - Individual Employee Parking Program, Audit Memorandum No. 23 - Mar. 28, 2002
Priority to Location of New Offices in Rural Areas, Audit Memorandum No. 22 - Mar. 29, 2002
GPRA Performance Reports, Audit No. 329 - Mar. 8, 2002
Sensitive Information Follow-Up, Audit No. 333 - Mar. 7, 2002
Commission Oversight of NAFI, Audit No. 346 - Feb. 14, 2002
Pacific Regional Office, Audit No. 342 - Jan. 22, 2002
Information Technology Project Management, Audit No. 337 - Feb. 4, 2002
Printing and Publications Summary, Audit No. 335 - Jan. 30, 2002
CATS2000 Data, Audit No. 331
- Dec. 16, 2002
- 2001
- Nov. 16, 2001
Fort Worth District Office, Audit No. 345 - Sep. 21, 2001
Broker-Dealer Registration Process (PDF), Audit No. 341 - Sep. 5, 2001
Salt Lake City District Office (PDF), Audit No. 343 - Aug. 18, 2001
IT Decision Making Process (PDF), Audit No. 334 - Aug. 15, 2001
Comment Letter Follow-Up (PDF), Audit No. 326 - Aug. 13, 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 - Jun. 28, 2001
Compliance Inspection and Examination Referrals to Enforcement (PDF), Audit No. 322 - May 31, 2001
Real Property Leasing (PDF), Audit No. 330 - Mar. 23, 2001
FOIA Process (PDF), Audit No. 318 - Feb. 23, 2001
Integrity Program (PDF), Audit No. 313 - Jan. 17, 2001
Central Regional Office (PDF), Audit No. 328 - Jan. 11, 2001
Disgorgements (PDF), Audit No. 311 - Jan. 5, 2001
Distribution of Mail (PDF), Audit No. 324
- Nov. 16, 2001
- 2000
- Sep. 29, 2000
Clearance Process (PDF), Audit No. 323 - Sep. 28, 2000
Investment Management No-Action and Interpretive Letters (PDF), Audit No. 316 - Sep. 22, 2000
Payroll Conversion (PDF), Audit No. 314 - Sep. 22, 2000
Audit Follow-Up Procedures (PDF), Audit No. 325 - Aug. 1, 2000
Office of Municipal Securities (PDF), Audit No. 315 - Jun. 23, 2000
Commissioners' Travel (PDF), Audit No. 319 - Apr. 25, 2000
Investor Education And Assistance Program (PDF), Audit No. 288 - Apr. 21, 2000
Travel Vouchers (PDF), Audit Memorandum No. 20 - Mar. 31, 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. 30, 2000
Edgar Hardship Exemptions (PDF), Audit No. 308 - Mar. 17, 2000
Benchmarking Commission Procedures (PDF), Audit No. 310 - Mar. 9, 2000
Data Back-Up Procedures (PDF), Audit No. 299 - Feb. 23, 2000
Review of Periodic Reports (PDF), Audit No. 298
- Sep. 29, 2000
- 1999
- Dec. 10, 1999
Year 2000 Certification & Contingency Planning Activities (PDF), Audit No. 312 - Nov. 18, 1999
Investor and Small Business Town Meetings (PDF), Audit No. 303 - Oct. 29, 1999
Midwest Regional Office (PDF), Audit No. 307 - Sep. 21, 1999
Procurement and Contracting (PDF), Audit No. 290 - Sep. 14, 1999
Unix Security (PDF), Audit No. 296 - Aug. 26, 1999
Advance Commitment Program (PDF), Audit Memorandum No. 19 - Aug. 24, 1999
Oversight of Self-Regulatory Organization Arbitration (PDF), Audit No. 289 - Jul. 19, 1999
Reporting the Case Origins of Enforcement Investigations (PDF), Audit Memorandum No. 18 - Jun. 8, 1999
Acknowledgment Letters for the Branch of Public Reference (PDF),Audit Memorandum No. 17 - Jun. 8, 1999
Commissioners' Travel (PDF), Audit No. 294 - May 27, 1999
Help Desk (PDF), Audit Memorandum No. 13 - May 3, 1999
Survey of Sensitive Information (PDF), Audit No. 277 - Mar. 18, 1999
Enforcement Action Memoranda, Audit No. 276 - Mar. 16, 1999
GPRA Performance Measures (HTML), Audit No. 283
- Dec. 10, 1999
- Dec. 29, 1998
Philadelphia District Office, Audit No. 286 - Oct. 27, 1998
International Technical Assistance, Audit No. 284 - Oct. 23, 1998
Boston District Office, Audit No. 287 - Aug. 24, 1998
GPRA Performance Measures, Audit No. 283 - Aug. 24, 1998
Year 2000 Compliance Efforts, Audit No. 285 - Jul. 14, 1998
Commission Review of SRO Rules, Audit No. 272 - Jun. 26, 1998
Review of Investment Company Filings, Audit No. 273 - Jun. 5, 1998
Travel Upgrades, Audit No. 281 - May 26, 1998
Commissioners' Travel, Audit No. 280 - May 18, 1998
Oversight of SRO Automation, Audit No. 268 - Mar. 30, 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. 18, 1998
Compliance Inspections and Examinations , Audit No. 254
- Feb. 2, 1998
Comment Letter Process, Audit No. 259 - Jan. 13, 1998
Northeast Regional Office, Audit No. 270 - Jan. 5, 1998
Audit of Database Administration, Audit No. 269
- Dec. 29, 1998
- 1997
- Sep. 30, 1997
Commercial Credit Card Program, Audit No. 258 - Sep. 29, 1997
Automation of Records Management, Audit No. 262 - Sep. 20, 1997
Salt Lake District Office, Audit No. 265 - Sep. 9, 1997
Commission Integrity Program, Audit No. 267 - Sep. 9, 1997
Client Server, Audit No. 257 - Jul. 18, 1997
Central Regional Office Administrative and Financial Controls, Audit No. 264 - May 2, 1997
Value Engineering (VE) Program, Audit No. 260 - Mar. 21, 1997
Atlanta District Office Administrative and Financial Controls, Audit No. 256 - Mar. 20, 1997
Office of Filings & Information Services, Audit No. 244 - Mar. 6, 1997
SECOA Local Area Network, Audit No. 243 - Feb. 12, 1997
Space Management - Operations Center and Annex, Audit No. 249 - Feb. 7, 1997
Survey of the Economic Analysis Program, Audit No. 251 - Jan. 22, 1997
Enhancing Excellence - Integrity Program, Audit No. 250 - Jan. 7, 1997
- Enforcement Surveillance of Markets, Audit No. 246
- Sep. 30, 1997
- 1996
- Nov. 2, 1996
Equal Employment Opportunity Office, Audit No. 224 - Oct. 15, 1996
Regulation of Insurance Products, Audit No. 242 - Sep. 30, 1996
Headquarters Fitness Center, Audit No. 247 - Sep. 9, 1996
Survey of Reported Management Control Weaknesses, Audit No. 252 - Aug. 27, 1996
International Telephone Service, Audit No. 238 - Aug. 21, 1996
Transportation Subsidy Program, Audit No. 237 - Aug. 1, 1996
Selection of Filings for Review, Audit No. 229 - May 15, 1996
Enforcement Administrative Functions, Audit No. 233 - May 9, 1996
Information Technology Cost Savings, Audit No. 236 - Mar. 29, 1996
40 Act Exemptive Applications, Audit No. 230 - Mar. 26, 1996
IRM Planning and Execution, Audit No. 220 - Feb. 8, 1996
Collection of Filing Fees, Audit No. 225 - Feb. 1, 1996
Interagency Agreements, Audit No. 228
- Nov. 2, 1996
- 1995
- Sep. 20, 1995
Controls of Negotiated Settlements, Audit No. 218 - Jul. 31, 1995
Contingency Plans for PABX and Datacenter, Audit No. 226 - Jun. 15, 1995
Survey of Personnel Management, Audit No. 222 - Feb. 9, 1995
Market Contingency Preparedness, Audit No. 200 - Feb. 7, 1995
Survey of Information Technology, Audit No. 214 - Feb. 2, 1995
1995 Audit of Midwest Regional Office, Audit No. 216 - Jan. 17, 1995
Contractor Lobbying Statute - 1994, Audit No. 223
- Sep. 20, 1995
- 1994
- Dec. 31, 1994
1995 Audit on Southeast Regional Office, Audit No. 212 - Dec. 28, 1994
Office of Space Renovation, Audit No. 221 - Dec. 12, 1994
1995 Audit on Filing Activity Tracking System, Audit No. 213
- Dec. 31, 1994
Last Reviewed or Updated: May 5, 2026