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United States
The OIG welcomes information about fraud, waste, abuse, or mismanagement affecting the Securities and Exchange Commission's (SEC) programs and operations, as well as allegations of wrongdoing by SEC employees, contractors, and consultants. To facilitate the making of complaints, the OIG maintains a hotline for the confidential reporting of these matters to the OIG. Hotline complaints may be made by either calling the OIG's toll-free hotline number, (833) SEC-OIG1 (732-6441) or online via www.sec.gov/oig
Complainants are encouraged to assist the OIG by providing their names and information. Complainants also may request that their identity remain confidential or remain anonymous by not providing any identifying information.
Some matters are outside the OIG's jurisdiction and are handled by other agency components. To file a complaint about a securities law violation or to provide a tip on a potential security law violation, please go to the SEC for Enforcement Tips and Complaints.
To file a complaint against a broker, brokerage firm, investment adviser, transfer agent, mutual fund, and other market participant, you may contact the SEC's Office of Investor Education and Advocacy.
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
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 SomeImprovement But Enforcement Can Better Communicate Capabilities forExpediting 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
