SEC.gov | Office of Inspector General

About the Office »

The Office of Inspector General (OIG) is an independent office within the U.S. Securities and Exchange Commission (SEC or Commission) that conducts, supervises, and coordinates audits and investigations of the programs and operations of the SEC. The mission of the Office of Inspector General is to promote the integrity, efficiency, and effectiveness of the critical programs and operations of the U.S. Securities and Exchange Commission.

Learn more about the Office of Inspector General

Overview

Office of Audits
Office of Investigations
Office of Counsel to the Inspector General
Office of Operations and Management

The Office of Audits conducts, coordinates, and supervises independent audits and evaluations of the U.S. Securities and Exchange Commission's (Commission) internal programs and operations at its headquarters and 11 regional offices. The Office of Audits also hires, as needed, contractors and subject matter experts, who provide technical expertise in specific areas, to perform work on behalf of the Office of Inspector General (OIG).

Learn more about OIG's Office of Audits.

Audit/Evaluation and Other Reports

The Office of Investigations investigates allegations of misconduct involving the programs and operations of the U.S. Securities and Exchange Commission (SEC). The Office of Investigations adheres to the Council of the Inspectors General on Integrity and Efficiency's Quality Standards for Investigations and applicable guidelines issued by the U.S. Attorney General.

Learn more about OIG's Office of Investigations

The OIG Office of Counsel to the Inspector General (OCIG), headed by the Counsel to the Inspector General, provides legal advice to the Inspector General, the Inspector General's senior staff, managers, and others in the OIG on the full range of activities within the OIG, including investigations, audits, and evaluations. The Counsel to the Inspector General reports to the Inspector General, and is independent from SEC's General Counsel. OCIG is responsible for coordinating the OIG's Freedom of Information Act (FOIA) and Privacy Act responses to requests referred by the SEC. OCIG also provides legal advice concerning OIG activities that includes a review of OIG written products and policies, personnel issues, ethical issues, particularly those that arise in the course of audits and investigations, Congressional and media relations, and any other guidance needed in the course of supporting and advising the OIG on how to proceed in conducting its oversight mission.

The Office of Operations and Management (OM) provides services to enable the SEC OIG to accomplish its statutory mission and operational goals. The office produces the statutorily-required Semi-annual Report to Congress; manages the Enterprise Risk Management and Internal Controls Program; and develops and coordinates, in conjunction with other units, OIG policy, standard operating procedures, internal guidance, and strategic planning in accordance with law, regulations and Inspector General Act requirements. Additionally, OM oversees financial management from budget formulation to obligation and execution, including the implementation of resource allocation, and also facilitates and assists in acquiring specialized training and developmental opportunities. It further conducts other federal business functions including acquisition management through procurement and contracting; facilities administration including security, property management and space design and development; human resources functions including hiring and award program management; and records and archival maintenance.

The OM's Information Technology Support Division executes the OIG's information strategic vision and goals by directing technology and business process integration, network administration, implementation of computer hardware and software, cybersecurity, applications development, programming services, and policy formulation. Moreover, the division oversees the OIG data analytics program to bring to bear internal and external tools and datasets for analytical information, insights and trends.

OM also manages the SEC Employee Suggestion Program (ESP) established in accordance with Section 966 of the Dodd-Frank Act as a means for SEC employees to improve the agency's efficiency and effectiveness and use of resources and to report instances of waste, abuse misconduct or mismanagement within the SEC.

Whistleblower Protection Information

The Whistleblower Protection Enhancement Act of 2012 protects federal employees who disclose evidence of waste, fraud, or abuse. Under the Act, the statement below, upon this or other notice, is incorporated into the SEC’s and SEC OIG’s nondisclosure policies, forms, or agreements in effect before the Act’s effective date of December 27, 2012:

These provisions are consistent with and do not supersede, conflict with, or otherwise alter the employee obligations, rights, or liabilities created by existing statute or Executive order relating to (1) classified information, (2) communications to Congress, (3) the reporting to an Inspector General of a violation of any law, rule, or regulation, or mismanagement, a gross waste of funds, an abuse of authority, or a substantial and specific danger to public health or safety, or (4) any other whistleblower protection. The definitions, requirements, obligations, rights, sanctions, and liabilities created by controlling Executive orders and statutory provisions are incorporated into this agreement and are controlling.

If you wish to make a complaint about misconduct by Commission staff or contractors, or if you have a question or comment about the Office of Inspector General´s audit or investigation programs, please Contact Us.

If your complaint is about a financial professional or is an investment-related matter, you may file a Complaint Online, or call the Office of Investor Education and Advocacy at (800) 732-0330 or (202) 551-6551 or email help@sec.gov.