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O f f i c e o f I n s p e c t o r G e n e r a l
O r g a n i z a t i o n a l C h a r t
I n s p e c t o r G e n e r a l
C o u n s e l t o t h e I n s p e c t o r G e n e r a l L e g a l A s s i s t a n t A d m i n i s t r a t i v e O f fi c e r A u d i t M a n a g e r A u d i t M a n a g e r
D e p u t y I n s p e c t o r G e n e r a l A s s i s t a n t I n s p e c t o r G e n e r a l f o r A u d i t s
A u d i t M a n a g e r A u d i t M a n a g e r A u d i t M a n a g e r A s s i s t a n t t o t h e I n s p e c t o r G e n e r a l S e n i o r I n v e s t i g a t o r S e n i o r I n v e s t i g a t o r S e n i o r I n v e s t i g a t o r S e n i o r I n v e s t i g a t o r I n v e s t i g a t o r
A s s i s t a n t I n s p e c t o r G e n e r a l f o r I n v e s t i g a t i o n s
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MISSION
The mission of the Office of Inspector General (OIG) is to promote the integrity, efficiency,and effectiveness of the critical programs and operations of the U.S. Securities and ExchangeCommission (SEC). This mission is best achieved by having an effective, vigorous and inde-pendent office of seasoned and talented professionals who perform the following functions:
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U.S. Securitiesand ExchangeCommission
OFFICE OFINSPECTORGENERAL
SEMIANNUAL REPORT TOCONGRESS
A p r i l 1 , 2 0 0 9 - S e p t e m b e r 3 0 , 2 0 0 9
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Conducting independent and objec-tive audits, evaluations, investigations,and other reviews of SEC programsand operations;•
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Preventing and detecting fraud, waste,abuse, and mismanagement in SECprograms and operations;•
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Identifying vulnerabilities in SEC sys-tems and operations and recommend-ing constructive solutions;•
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Offering expert assistance to improveSEC programs and operations;•
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Communicating timely and usefulinformation that facilitatesmanagement decision making and theachievement of measurable gains; and •
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Keeping the Commission and theCongress fully and currently informedof significant issues and developments.
S.E.C. Inspector General's Semi-Annual Report to Congress
Info and Rating
Sections
« prev | next »- MANAGEMENT AND ADMINISTRATION
- AGENCY OVERVIEW
- OIG STAFFING
- CONGRESSIONAL TESTIMONY, BRIEFINGS AND REQUESTS
- ADVICE AND ASSISTANCE PROVIDED TO THE AGENCY
- Advice Concerning OIT Electronic Data Retention Procedures
- AUDITS AND EVALUATIONS
- OVERVIEW
- Audits
- Evaluations
- Audit Follow-up and Resolution
- AUDITS AND EVALUATIONS CONDUCTED
- PENDING AUDITS AND EVALUATIONS
- Audit of the SEC’s Information Technology Investment Process
- 2009 Federal Information Security Management Act Assessments
- U.S. Securities and Exchange Commission’s FY 2009 Financial Statements
- FY 2009 Assessment of Sensitive Payments
- INVESTIGATIONS
- INVESTIGATIONS AND INQUIRIES CONDUCTED
- Failure of the SEC to Uncover Bernard Madoff’s Ponzi Scheme
- Retaliation by Senior Officers in a Regional Office
- Possession of a Weapon Inside SEC Headquarters
- Misuse of Government Computer Resources
- Allegation of Unauthorized Disclosure of Non-Public Information
- Allegation of Conflict of Interest by Senior SEC Official
- Allegation of Abuse of Authority
- Other Inquiries Conducted
- PENDING INVESTIGATIONS
- Allegation of Conflict of Interest in an Enforcement Investigation
- Allegations of Numerous Procurement Violations!
- Allegations of Failure to Vigorously Enforce Securities Laws
- Complaint of Investigative Misconduct by Various Enforcement Attorneys
- Allegation of Abusive Behavior and Other Improper Conduct
- Allegation of Procurement Violations
- Allegation of Failure to Maintain Active Bar Membership
- Allegations of Conflict of Interest and Investigative Misconduct
- Complaint Concerning Obstruction of Justice
- Allegations of Failure to Investigate
- Allegation of Negligence in the Conduct of an Enforcement Investigation
- Whistleblower Allegation of Falsification of Contract Documents
- Allegation of Retaliatory Investigation
- Allegation of Misuse of Resources and Official Time
- REVIEW OF LEGISLATION AND REGULATIONS
- REVISED MANAGEMENT DECISIONS
- AGREEMENT WITH SIGNIFICANT MANAGEMENT DECISIONS
- INSTANCES WHERE INFORMATION WAS REFUSED
- Table 1 List of Reports: Audits and Evaluations
- Table 4 Summary of Investigative Activity
- Table 5 Summary of Complaint Activity
- Table 6 References to Reporting Requirements of the Inspector General Act
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