About
The Office of Inspector General (OIG) seeks to prevent and detect any fraud, waste, abuse, and mismanagement at the SEC while promoting integrity, economy, efficiency, and effectiveness in Commission programs and operations. The OIG can identify vulnerabilities in SEC systems or processes and make recommendations to improve them.
Learn more about the Office of Inspector General
OIG Complaint Hotline
Deborah Jeffrey
Semiannual Reports
The OIG presents these reports to Congress every six months to highlight its accomplishments and share details about its ongoing work involving matters of significant public interest and impact.
Management Performance Challenges
The OIG is statutorily required to annually issue a report summarizing its independent perspective on the most serious management and performance challenges facing the agency.
Audit & Evaluation Reports
OIG audits and evaluations increase accountability and transparency in SEC programs or operations. The OIG issues independent reports that identify deficiencies or inefficiencies and make recommendations to correct them.
Investigative Reports
OIG investigations focus on allegations of wrongdoing or misconduct involving SEC programs, operations, or personnel. The OIG issues reports on its investigative findings to management for consideration of disciplinary or remedial action.
Investigative Memoranda
In lieu of an investigative report, the OIG may issue a memorandum to appropriate management officials making recommendations based on the findings of its investigation.
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.
Last Reviewed or Updated: April 3, 2023