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 OIG is to prevent and detect fraud, waste, and abuse and to promote integrity, economy, efficiency, and effectiveness in the Commission's programs and operations.
Learn more about the Office of Inspector General
Overview
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.
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
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.
Submit Online Hotline Complaint
or
Call our toll-free hotline at: (877) 442-0854
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Inspector General's FY 2016 Letter to OMB on SEC's Implementation of Purchase Card Program Audit Recommendations
(PDF)
Jan. 11, 2017 -
Semiannual Report to Congress: April 1, 2016, through September 30, 2016
(PDF)
Nov. 14, 2016 -
Final Management Letter - Readiness Review of the SEC's Progress Toward Compliance with the DATA Act of 2014
(PDF)
Nov. 2, 2016 -
Inspector General's Statement on the SEC's Management and Performance Challenges, October 2016
(PDF)
Oct. 7, 2016 -
Audit of the SEC’s Information Technology Requirements-Gathering Process, Report No. 538
(PDF)
Sept. 30, 2016 -
Audit of the SEC's Process for Reviewing Self-Regulatory Organizations' Proposed Rule Changes, Report No. 537
(PDF)
Sept. 23, 2016 -
OIG Strategic Plan for Fiscal Years 2017 - 2019
(PDF)
Sept. 19, 2016 -
Final Closeout Memorandum: Audit of the SEC’s Hiring Practices
(PDF)
Aug. 19, 2016 -
Inspector General’s Report on Covered Systems (August 11, 2016)
(PDF)
Aug. 11, 2016 -
Final Management Letter: Evaluation of the SEC Division of Enforcement's Coordination Related to a Federal Civil Action
(PDF)
June 30, 2016