Oversight and Investigations

The Oversight and Investigations Group advises and assists the Commission in conducting internal investigations and responding to oversight inquiries. Attorneys in this group help address oversight inquiries and investigations by Congress, the Government Accountability Office, and the SEC Office of Inspector General. They provide legal advice and policy assistance on legislative matters, contribute to briefings of committee staff, help respond to congressional correspondence, and help prepare Commission officials and staff for congressional testimony. They also monitor pending legislation and presidential executive orders and advise on their applicability to the SEC.