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All Reports

Dec. 1, 2015

Grand Prairie attorney arrested for Ponzi scheme and obstructing SEC investigation

AiNET Corp. and Deepak Jain Agree to Pay $1.8M to Resolve Allegations of Submitting False Claims to the U.S. Securities and Exchange Commission for Data Center Services

Evaluation of the SEC’s FY 2025 Compliance With the Payment Integrity Information Act of 2019, Report No. 591

Former SEC employee accessed and shared nonpublic investigative information with her son, who then posted and shared the information on X

Atlanta Man Sentenced to 14 Years for Conspiracy to Commit Mail and Wire Fraud

Final Management Letter: Contract Management Concerns Identified During OIG Evaluation of Enforcement’s Collection and Distribution of Disgorgements and Penalties

Fraud Alert June 2026

Suspect arrested for SEC regional office burglary during lapse in appropriations and corresponding government shutdown.

Semiannual Report to Congress: October 1, 2025, through March 31, 2026

Opportunities Exist to Strengthen Investment Management's Disclosure Review Program, Report No. 590

SEC OIG Cash Awards Program for SEC Employees

SEC Information Technology supervisor resigned, and two employees were suspended following investigation into whether they golfed during duty hours without taking leave

Former SEC Attorney recorded a whistleblower interview without the knowledge of the participants and used an unapproved artificial intelligence service to transcribe the recording

Fiscal Year 2025 Independent Evaluation of the SEC's Implementation of the Federal Information Security Modernization Act of 2014, Report No. 589

Immigration Attorney Sentenced to 30 Months for Visa Fraud and Obstruction of Justice

Semiannual Report to Congress: April 1, 2025, through September 30, 2025

The Inspector General’s Statement on the SEC’s Management and Performance Challenges, December 2025

Hong Kong Businessman Indicted for Role in Filing False SEC Investment Adviser Forms on behalf of Sham Entities Used in Ramp-and-Dump Scheme

Former SEC Contract Specialist falsely claimed Virginia residency while living in and working from Florida, collecting higher locality pay for years

Observations on the SEC’s Rulemaking Process, Report No. 588

Co-CEO of Chinese publicly traded technology company and financial advisor indicted for over $100M securities fraud scheme

An SEC Financial Economist failed to report as required by ethics regulations and misused his position in an immigration matter

Special Review: Avoidable Errors Led to the Loss of Former SEC Chair Gary Gensler’s Text Messages, Report No. 587

Anderson County Man Sentenced to 13 Years for 13M Ponzi Scheme and Cyberstalking

Improved Documentation and Guidance Can Help Strengthen Corporation Finance’s Disclosure Review Program, Report No. 586

An SEC attorney falsely certified more than a dozen times having an active state bar license in good standing

Final Management Letter: Potential Opportunity to Consolidate the SEC’s Disclosure Review Information Technology Systems

OIG Strategic Plan for Fiscal Years 2025 - 2028

Semiannual Report to Congress: October 1, 2024, through March 31, 2025

Alabama Man Sentenced to 14 Months SEC X Hack

OIG did not find that SEC contractor used quid pro quo schemes, improper relationships with SEC employees, or performed inherently governmental duties, nor did the contractor have access to procurement sensitive information not available to other bidders as alleged

Final Management Letter: Audit of the SEC’s Efforts to Recruit and Retain a Highly Skilled Workforce and Address Related Challenges

Former Division of Enforcement attorney resigned while under investigation for sending emails with sensitive & nonpublic SEC information to self and others via personal email; sending political emails; and using SEC resources for personal use

Former Division Director failed to file ethics form but did not violate other ethics rules as alleged

Additional Oversight and Monitoring of the SEC’s CAT Usage Is Needed, Report No. 585

Federal Law Enforcement in Chicago Seizes $214 Million in Alleged “Pump and Dump” Investment Fraud Investigation; Seven Defendants Indicted

Federal Jury Convicts Joshua Aaron Holmes For Conspiracy To Commit Mail And Wire Fraud

San Jose Immigration Lawyer Extradited From The Kyrgyz Republic To Face Charges Of Large-Scale Visa Fraud

Final Management Letter: Evaluation of the SEC’s FY 2024 Compliance with the Payment Integrity Information Act of 2019

Guilty Plea in Hacking of the SEC’s X Account

Fiscal Year 2024 Independent Evaluation of the SEC’s Implementation of the FISMA of 2014, Report No. 584

Semiannual Report to Congress: April 1, 2024, through September 30, 2024

The Inspector General’s Statement on the SEC’s Management and Performance Challenges, October 2024

FBI Arrests Alabama Man in the January 2024 SEC X Hack that Spiked the Value of Bitcoin Commission

Data Center Company CEO Indicted for Major Fraud and Making False Statements to the U.S. Securities and Exchange Commission

Mastermind of Multimillion-Dollar Penny-Stock Scam Indicted for Fraud and Obstruction

CEO of Publicly Traded Company Arrested in Securities Fraud Scheme

Enhanced Planning, Performance Measurement and Evaluation, and Information Can Improve Oversight of Broker-Dealer Examinations, Report No. 583

The SEC Missed Opportunities to Lower Contract Risk and More Effectively Manage Time-and-Materials Contracts, Report No. 582

Peer Review: System Review Report on the U.S. Securities and Exchange Commission's Office of Inspector General Audit Organization

Semiannual Report to Congress: October 1, 2023, through March 31, 2024

Final Management Letter: Evaluation of the SEC’s FY 2023 Compliance With the Payment Integrity Information Act of 2019

Peer Review: External Peer Review Report for the SEC OIG Inspection and Evaluation Function

Opportunities Exist to Strengthen the SEC’s Office of Equal Employment Opportunity Programs and Operations, Report No. 581

Fiscal Year 2023 Independent Evaluation of the SEC’s Implementation of the Federal Information Security Modernization Act of 2014, Report No. 580

Semiannual Report to Congress: April 1, 2023, through September 30, 2023

The Inspector General’s Statement on the SEC’s Management and Performance Challenges, October 2023

Final Management Letter: Readiness Review – The SEC’s Progress Toward Implementing Zero Trust Cybersecurity Principles

The SEC Took Appropriate Workplace Safety Actions in Accordance With Pandemic Guidance But Could Improve Communications, Report No. 579

Semiannual Report to Congress: October 1, 2022, through March 31, 2023

Evaluation of the SEC’s FY 2022 Compliance With the Payment Integrity Information Act of 2019, Report No. 578

Final Management Letter: Review of Upward Mobility Program

Final Management Letter: Review of SEC Controls Over Public Comments Submitted Online and Actions Taken in Response to a Known Error

Deputy Inspector General for Audits, Evaluations, and Special Projects’ Testimony before the Committee on Financial Services Subcommittee on Oversight and Investigations, U.S. House of Representatives, March 8, 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

Enforcement Investigations: Measures of Timeliness Showed Some Improvement But Enforcement Can Better Communicate Capabilities for Expediting Investigations and Improve Internal Processes, Report No. 576

Inspector General's FY 2022 Letter to OMB on SEC's Implementation of Purchase Card Program Audit Recommendations

SEC’s Whistleblower Program: Additional Actions Are Needed To Better Prepare for Future Program Growth, Increase Efficiencies, and Enhance Program Management, Report No. 575

Semiannual Report to Congress: April 1, 2022, through September 30, 2022

Fiscal Year 2022 Independent Evaluation of the SEC’s Implementation of the Federal Information Security Modernization Act of 2014, Report No. 574

The Inspector General’s Statement on the SEC’s Management and Performance Challenges, October 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

OASB Complied With Statutory Requirements But Can Improve As It Matures, Report No. 573

Findings Related to the Former SEC Ombudsman

Interim Body Worn Camera Policy

Results of the Inspector General’s Fiscal Year 2021 Purchase and Travel Card Program Risk Assessment

Final Management Letter: Evaluation of the SEC’s FY 2021 Compliance With the Payment Integrity Information Act of 2019

Semiannual Report to Congress: October 1, 2021 through March 31, 2022

The SEC Can Improve in Several Areas Related to Hiring, Report No. 572

Inspector General's FY 2021 Letter to OMB on SEC's Implementation of Purchase Card Program Audit Recommendations

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

Fiscal Year 2021 Independent Evaluation of the SEC’s Implementation of the Federal Information Security Modernization Act of 2014, Report No. 570

Semiannual Report to Congress: April 1, 2021, through September 30, 2021

Audit of the SEC’s Compliance With the Digital Accountability and Transparency Act for Fiscal Year 2021, Report No. 569

The Inspector General’s Statement on the SEC’s Management and Performance Challenges, October 2021

Additional Steps Are Needed For the SEC To Implement a Well-Defined Enterprise Architecture, Report No. 568

Peer Review: System Review Report on the Securities and Exchange Commission's Office of Inspector General Audit Organization

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

Review for Racial and Ethnic Disparities in the SEC’s Issuance of Corrective and Disciplinary Actions from January 1, 2017 – August 31, 2020

Final Management Letter: Review of the SEC's Compliance With CISA ED 21-01 and Initial Response to the SolarWinds Compromise

DOJ Press Release: Disbarred Attorney Pleads Guilty To Securities Fraud In Connection With Fraudulent Opinion Letter Scheme

Semiannual Report to Congress: October 1, 2020 to March 31, 2021

Final Management Letter: Actions May Be Needed To Improve Processes for Receiving and Coordinating Investor Submissions

Final Management Letter: Evaluation of SEC’s FY 2020 Compliance With the Payment Integrity Information Act of 2019

The SEC Can Further Strengthen the Tips, Complaints, and Referrals Program, Report No. 566

The SEC Has Taken Steps to Strengthen Its Monitoring of ISS Contractor’s Performance, But Additional Actions Are Needed, Report No. 565

SEC OIG 2020 FEVS Announcement

Inspector General's FY 2020 Letter to OMB on SEC's Implementation of Purchase Card Program Audit Recommendations

The SEC's OIEA Could Benefit From Increased Coordination, Additional Performance Metrics, and Formal Strategic Planning, Report No. 564

Fiscal Year 2020 Independent Evaluation of SEC’s Implementation of the Federal Information Security Modernization Act of 2014, Report No. 563

DOJ Press Release: Licensed Attorney And Disbarred Attorney Charged With Securities Fraud For Roles In Fraudulent Opinion Letter Scheme

Semiannual Report to Congress: April 1, 2020, through September 30, 2020

External Peer Review Report for the SEC OIG Inspection and Evaluation Function

The Inspector General’s Statement on the SEC’s Management and Performance Challenges, October 2020

Opportunities Exist To Improve the SEC’s Management of Mobile Devices and Services, Report No. 562

Findings of Alleged Fraudulent SEC Rulemaking Comment Letters

SEC Press Release: SEC Proposes Amendments to Update Form 13F for Institutional Investment Managers; Amend Reporting Threshold to Reflect Today’s Equities Markets

SEC Press Release: SEC Updates Filing Threshold to Rule 17h Reporting Requirements for Broker-Dealers

Semiannual Report to Congress: October 1, 2019, through March 31, 2020

Evaluation of the SEC’s FY 2019 Compliance with the Improper Payments Elimination and Recovery Act of 2010, Report No. 561

DOJ Press Release: United States Attorney for the District of Columbia Timothy J. Shea Announces Launch of Metropolitan Area COVID-19 Anti-Fraud Task Force

Results of the Inspector General’s Fiscal Year 2019 Purchase Card Program Risk Assessment

Controls Over the SEC’s Travel Charge Card Program Could Be Strengthened To More Fully Comply With Requirements and Maximize Benefits, Report No. 560

DOJ Press Release: Biotech Officer Sentenced for Securities Fraud and Obstruction of SEC Proceeding

The SEC’s Office of Broker-Dealer Finances Provides Effective Oversight, But Opportunities to Improve Efficiency Exist, Report No. 559

DOJ Press Release: Biotech Company CEO Sentenced for Securities Fraud and Obstruction

DOJ Press Release: Biotech Company Employee Sentenced for Securities Fraud

Inspector General's FY 2019 Letter to OMB on SEC's Implementation of Purchase Card Program Audit Recommendations

Fiscal Year 2019 Independent Evaluation of SEC’s Implementation of the Federal Information Security Modernization Act of 2014, Report No. 558

Final Management Letter: Evaluation of the U.S. Securities and Exchange Commission’s Delinquent Filings Program

DOJ Press Release: Former Chief Executive Officer Of Publicly Traded Brand Management Company Charged With Accounting Fraud And Obstruction Of Justice

Semiannual Report to Congress: April 1, 2019, through September 30, 2019

The SEC Can More Strategically and Securely Plan, Manage, and Implement Cloud Computing Services, Report No. 556

Audit of the SEC’s Compliance With the Digital Accountability and Transparency Act for Fiscal Year 2019, Report No. 557

DOJ Press Release: Biotech Company CEO Convicted of Securities Fraud and Obstruction

The Inspector General’s Statement on the SEC’s Management and Performance Challenges, October 2019

OIG Strategic Plan for Fiscal Years 2019 - 2024

The SEC Has Processes to Manage Information Technology Investments But Improvements Are Needed, Report No. 555

Top Management and Performance Challenges Facing Financial-Sector Regulatory Organizations, July 2019

The SEC Can Better Manage Administrative Aspects of the ISS Contract, Report No. 554

Final Management Letter: Update on the SEC’s Progress Toward Redesigning the Electronic Data Gathering, Analysis, and Retrieval System

Semiannual Report to Congress: October 1, 2018, through March 31, 2019

Although Highly Valued by End Users, DERA Could Improve Its Analytics Support by Formally Measuring Impact, Where Possible, Report No. 553

DOJ Press Release: Owner of South Bay Law Firm and Office Manager Charged with Committing Large-Scale Immigration Visa Fraud

Results of the Inspector General’s Fiscal Year 2018 Purchase Card Program Risk Assessment

The SEC’s Compliance with Improper Payments Requirements for Fiscal Year 2018

DOJ Press Release: Biotech Company Employee Pleads Guilty to Securities Fraud Charges

Fiscal Year 2018 Independent Evaluation of SEC’s Implementation of the Federal Information Security Modernization Act of 2014, Report No. 552

DOJ Press Release: Pennsylvania Man Pleads Guilty to International Email Impersonation and Fraud Scam

Inspector General's FY 2018 Letter to OMB on SEC's Implementation of Purchase Card Program Audit Recommendations

Semiannual Report to Congress: April 1, 2018 through September 30, 2018

The Inspector General’s Statement on the SEC’s Management and Performance Challenges, October 2018

DOJ Press Release: Former Auditor Sentenced For Submitting Fraudulently Backdated Documents To The Securities And Exchange Commission

TCP Established Method To Effectively Oversee Entity Compliance With Regulation SCI But Could Improve Aspects of Program Management, Report No. 551

Evaluation of the EDGAR System’s Governance and Incident Handling Processes, Report No. 550

The SEC Made Progress But Work Remains To Address Human Capital Management Challenges and Align With the Human Capital Framework, Report No. 549

The SEC Should Take Action to Strengthen Its Management of Electronic Information Sources, Data Sources, and Print Materials, Report No. 548

External Peer Review Report on U.S. Securities and Exchange Commission Office of Inspector General Audit Organization

DOJ Press Release: Dominican National Sentenced for International E-Mail Impersonation and Fraud Scam

Audit of the SEC’s Internal Controls for Retaining External Experts and Foreign Counsel for the Division of Enforcement, Report No. 547

Semiannual Report to Congress: October 1, 2017, through March 31, 2018

Audit of the SEC’s Compliance With the Federal Information Security Modernization Act for Fiscal Year 2017, Report No. 546

Results of the Inspector General’s Fiscal Year 2017 Purchase Card Program Risk Assessment

Inspector General’s Report on the U.S. Securities and Exchange Commission’s Fiscal Year 2017 Compliance with the Improper Payments Information Act

Semiannual Report to Congress: April 1, 2017, through September 30, 2017

Inspector General's FY 2017 Letter to OMB on SEC's Implementation of Purchase Card Program Audit Recommendations

Audit of the SEC’s Compliance with the Digital Accountability and Transparency Act for Fiscal Year 2017, Report No. 545

The Inspector General’s Statement on the SEC’s Management and Performance Challenges, October 2017

Audit of the SEC’s Management of Its Data Centers, Report No. 543

Audit of the SEC’s Progress in Enhancing and Redesigning the Electronic Data Gathering, Analysis, and Retrieval System, Report No. 544

Evaluation of the Division of Corporation Finance’s Disclosure Review and Comment Letter Process, Report 542

Review of Certain Actions Taken by Commissioner Michael Piwowar as Acting Chairman

Audit of the Office of Compliance Inspections and Examinations’ Investment Adviser Examination Completion Process, Report No. 541

Final Management Letter: Progress on the SEC’s Tips, Complaints, and Referrals Intake and Resolution System Redesign and Vulnerability Remediation Efforts

DOJ Press Release: Virginia Man Arrested And Charged In Manhattan Federal Court With $100 Million Market Manipulation Scheme Involving Fitbit Stock

DOJ Press Release: Former SEC Employee Pleads Guilty to Making False Statements Designed to Conceal Prohibited Trading

Semiannual Report to Congress: October 1, 2016, through March 31, 2017

DOJ Press Release: Connecticut Financial Advisor Sentenced for Obstructing SEC Investigation

Audit of the Division of Corporation Finance’s Management of Requests for No-Action and Interpretive Letters, Exemptions, and Waivers, Report No. 540

Results of Inspector General's Fiscal Year 2016 Purchase Card Program Risk Assessment

Inspector General's Review of the SEC's FY 2016 Compliance with the Improper Payments Information Act

Audit of the SEC’s Compliance with the Federal Information Security Modernization Act for Fiscal Year 2016, Report No. 539

Inspector General's FY 2016 Letter to OMB on SEC's Implementation of Purchase Card Program Audit Recommendations

Semiannual Report to Congress: April 1, 2016, through September 30, 2016

Final Management Letter - Readiness Review of the SEC's Progress Toward Compliance with the DATA Act of 2014

Inspector General's Statement on the SEC's Management and Performance Challenges, October 2016

Audit of the SEC’s Information Technology Requirements-Gathering Process, Report No. 538

Audit of the SEC’s Process for Reviewing Self-Regulatory Organizations’ Proposed Rule Changes, Report No. 537

OIG Strategic Plan for Fiscal Years 2017 - 2019

Final Closeout Memorandum: Audit of the SEC's Hiring Practices

Inspector General’s Report on Covered Systems (August 11, 2016)

Final Management Letter: Evaluation of the SEC Division of Enforcement's Coordination Related to a Federal Civil Action (PDF)

Management of the SEC's Protective Security Force Contract Needs Improvement, Report No. 536

Audit of the SEC’s Compliance with the Federal Information Security Modernization Act for Fiscal Year 2015, Report No. 535

Semiannual Report to Congress: October 1, 2015, through March 31, 2016

Audit of the SEC's Student Loan Repayment Program, Report No. 534

Results of Inspector General's Fiscal Year 2015 Purchase Card Program Risk Assessment

Office of Compliance Inspections and Examinations' Management of Investment Adviser Examination Coverage Goals, Report No. 533

Improvements Needed in Oversight of SEC-Sponsored Conferences, Report No. 532

Final Report of Investigation, Administrative Law Judges, 15-ALJ-0482-I

Inspector General's Review of the SEC's FY 2015 Compliance with the Improper Payments Information Act

Review of the SEC’s Pay Transition Program, 15-ONR-0281-R

Semiannual Report to Congress: April 1, 2015 through September 30, 2015

Inspector General’s FY 2015 Letter to OMB on SEC’s Implementation of Purchase Card Program Audit Recommendations

Improvements Needed in the Division of Enforcement's Oversight of Fund Administrators, Report No. 531

Audit of the SEC's Contracting Offices' Representative Program, Report No. 530

Review of Non-Career Officials' Involvement in the SEC's FOIA Response Process

Interim Report of Investigation, Administrative Law Judges, 15-ALJ-0482-I

Final Management Letter: Evaluation of the SEC's Use of the Reserve Fund

Final Management Letter: Observations Noted During TCR System Audit Support Engagement

Federal Information Security Management Act: Fiscal Year 2014 Evaluation, Report No. 529

Audit of the Office of the Ethics Counsel’s Oversight of Employee Securities Holdings, Report No. 527

2014 Semiannual Report to Congress: April 1, 2014, through September 30, 2014

Audit of the Representation of Minorities and Women in the SEC’s Workforce, Report No. 528

Semiannual Report to Congress: October 1, 2014 through March 31, 2015

Analysis of the SEC's Compliance with Conference Approval and Reporting Requirements for Fiscal Year 2014

Controls Over the SEC's Inventory of Laptop Computers, Report No. 524

Audit of the SEC’s Physical Security Program, Report No. 523

Review of the SEC’s Practices for Sanitizing Digital Information System Media, Report No. 521

Semiannual Report to Congress: October 1, 2013 through March 31, 2014

Inspector General’s Report to OMB on SEC’s Implementation of Purchase Card Program Audit Recommendations

Report of the U.S. SEC's Fiscal Year 2013 Compliance with the Improper Payments Information Act, February 24, 2014

Employee Exit Process – Records Review

Semiannual Report to Congress: April 1, 2013 to September 30, 2013

2013 Semiannual Report to Congress

Audit of SEC’s Controls over Support Service, Expert and Consulting Service Contracts, Report No. 513

Audit of the SEC’s Filing Fees Program, Report No. 514

2012 FISMA Executive Summary, Report No. 512

Review of the SEC’s Systems Certification and Accreditation Process, Report No. 515

SEC’s Controls Over Sensitive/Nonpublic Information Collected and Exchanged With the Financial Stability Oversight Council and Office of Financial Research, Report No. 509

Evaluation of the SEC's Whistleblower Program, Report No. 511

OIG Fall 2012 Final Report to Congress

Investigation Into Misuse of Resources and Violations of Information Technology Security Policies Within the Division of Trading and Markets, OIG-557

SEC's Records Management Practices, Report No. 505

The Office of International Affairs Internal Operations and Travel Oversight, Report No. 508

2012 Semiannual Report to Congress

Review of the SEC’s Continuity of Operations Program, Report No. 502

SEC's Use of Justifications and Approvals in Sole-Source Contractings, Report No. 507

SEC's Controls Over Government Furnished Equipment and Contractor Acquired Property, Report No. 503

Assessment of SEC's System and Network Logs, Report No. 500

2011 Annual FISMA Executive Summary Report, Report No. 501

Follow-Up Review of Cost-Benefit Analyses in Selected SEC Dodd-Frank Act Rulemakings, Report No. 499

SEC OIG Press Release Announcing Settlement of Civil Charges Against Former Head of SEC Fort Worth Enforcement Program

2011 Semiannual Report to Congress

Destruction of Records Related to Matters Under Inquiry and Incomplete Statements to the National Archives and Records Administration Regarding that Destruction by the Division of Enforcement, OIG-567

Allegations of Enforcement Staff Misconduct in Insider Trading Investigation, OIG-511

Assessment of the Office of Investor Education and Advocacy’s Functions, Report No. 498

Excessive Payment of Living Expenses in Contravention of OPM Guidance for a Headquarters Senior Official, OIG-561

Review of Alternative Work Arrangements, Overtime Compensation, and COOP-Related Activities at the SEC, Report No. 491

Inspector General’s Testimony before the Subcommittee on Oversight and Investigations, Committee on Financial Services, and the Subcommittee on TARP, Financial Services and Bailouts of Public and Private Programs, Committee on Oversight and Government Reform, U.S. House of Representatives, September 22, 2011

Investigation of Conflict of Interest Arising from Former General Counsel’s Participation in Madoff-Related Matters, OIG-560

Assessment of SEC’s Continuous Monitoring Program, Report No. 497

Inspector General’s Testimony before the Federal Financial Management, Government Information, Federal Services, and International Security Subcommittee of the U.S. Senate Committee on Homeland Security and Government Affairs

Audit of SEC’s Employee Recognition Program and Recruitment, Relocation, and Retention Incentives, Report No. 492

Annual Report of the Council of Inspectors General on Financial Oversight, July 2011

Review of SEC Contracts for Inclusion of Language Addressing Privacy Act Requirements, Report No. 496

Oversight of and Compliance with Conditions and Representations Related to Exemptive Orders and No-Action Letters, Report No. 482

Inspector General’s Testimony before the Subcommittee on Economic Development, Public Buildings and Emergency Management, U.S. House of Representatives

Establishment of the Office of Minority and Women Inclusion

Report of Review of Economic Analysis Performed by the Securities and Exchange Commission in Connection with Dodd-Frank Act Rulemakings

Improper Actions Relating to the Leasing of Office Space, OIG-553

Inspector General’s Testimony before the Subcommittee on Oversight and Investigations, Committee on Financial Services, U.S. House of Representatives, May 13, 2011

The SEC’s Implementation of and Compliance with Homeland Security Presidential Directive 12, Report No. 481

SEC’s Oversight of the Securities Investor Protection Corporation’s Activities, Report No. 495

OCIE Regional Offices’ Referrals to Enforcement, Report No. 493

Audit of the SEC Budget Execution Cycle, Report No. 488

DOJ Press Release Announcing Indictment Based on False Applications to Federal Agencies, Including the SEC

2010 Annual FISMA Executive Summary Report, Report No. 489

Inspector General’s Testimony before the Subcommittee on Financial Services and General Government, Committee on Appropriations, U.S. House of Representatives

Investigation of the Failure of the SEC's Los Angeles Regional Office to Uncover Fraud in Westridge Capital Management Notwithstanding Investment Adviser Examination Conducted in 2005 and Inappropriate Conduct on the Part of Senior Los Angeles Official

Review of Select Time-and-Materials and Labor-Hour Contracts (PDF)

Last Reviewed or Updated: Sept. 1, 2026