SEC-OIG.gov Updates: Office of Inspector General Reports

SEC-OIG.gov Updates: Office of Inspector General Reports The latest reports from the Securities and Exchange Commission's Office of Inspector General. http://www.sec-oig.gov/ en-us Wed, 2 Dec 2009 11:12:13 -0500 Wed, 2 Dec 2009 11:11:54 -0500 FeedForAll v2.0 (2.0.2.9) http://www.feedforall.com 2010 Semiannual Report to Congress October 1, 2009 through March 31, 2010 http://www.sec-oig.gov/Reports/Semiannual/2010/semiapr10.pdf 94DD8780-F271-486B-9642-7CCAE950B7EE Mon, 1 Jun 2010 11:32:03 -0500 Management Alert – Data Security Vulnerabilities http://www.sec-oig.gov/Reports/AuditsInspections/2010/477.pdf 94DD8780-F271-486B-9642-7CCAE950B7EE Mon, 1 Jun 2010 11:32:03 -0500 2009 Semiannual Report to Congress April 1, 2009 through September 30, 2009 http://www.sec-oig.gov/Reports/Semiannual/2009/semifall09.pdf 94DD8780-F271-486B-9642-7CCAE950B7EE Mon, 30 Nov 2009 11:11:03 -0500 Review of the Commission’s Processes for Selecting Investment Advisers and Investment Companies for Examination http://www.sec-oig.gov/Reports/AuditsInspections/2009/470.pdf C82DDDB8-CF2C-4C21-9435-275E03B93E99 Thu, 19 Nov 2009 14:08:15 -0500 Program Improvements Needed Within the SEC’s Division of Enforcement http://www.sec-oig.gov/Reports/AuditsInspections/2009/467.pdf 4BAA5158-FD39-4CA8-B0D1-237180D65D59 Thu, 19 Nov 2009 14:07:57 -0500 Review and Analysis of OCIE Examinations of Bernard L. Madoff Investment Securities, LLC http://www.sec-oig.gov/Reports/AuditsInspections/2009/468.pdf F1C8D897-7E69-45BC-B7D1-0944D8F13BF0 Tue, 29 Sep 2009 14:07:28 -0500 Audit of the Office of Acquisitions' Procurement and Contract Management Functions http://www.sec-oig.gov/Reports/AuditsInspections/2009/471.pdf C20F6018-6D84-40BC-B44F-BD18D9256836 Thu, 19 Nov 2009 14:07:00 -0500 Review of the SEC's Compliance with the Freedom of Information Act http://www.sec-oig.gov/Reports/AuditsInspections/2009/465.pdf BD4FB040-D566-4E89-A555-765675FCFDBA Fri, 25 Sep 2009 14:06:16 -0500 The SEC's Role Regarding and Oversight of Nationally Recognized Statistical Rating Organizations (NRSROs) http://www.sec-oig.gov/Reports/AuditsInspections/2009/Report458.pdf AA636F58-7F96-4140-8C12-EC38BB50A9DB Thu, 27 Aug 2009 14:05:29 -0500 Management Alert - Microsoft Premier Support Services Contract http://www.sec-oig.gov/Reports/AuditsInspections/2009/469.pdf E1EDEB9A-693B-430E-89B7-BE1254BCD297 Mon, 10 Aug 2009 14:04:13 -0500 2009 Semiannual Reports to Congress http://www.sec-oig.gov/Reports/AuditsInspections/2009/461.pdf 4896CEEA-136F-41BF-8BA2-02C379EC79B2 Mon, 1 Jun 2009 09:00:00 -0400 Review of the Commission’s Restacking Project http://www.sec-oig.gov/Reports/AuditsInspections/2009/461.pdf 4896CEEA-136F-41BF-8BA2-02C379EC79B3 Tue, 31 Mar 2009 16:42:38 -0400 Regulation D Exemption Process http://www.sec-oig.gov/Reports/AuditsInspections/2009/459.pdf D26F33DD-3E23-406F-9EE3-AE5C57EC8A88 Tue, 31 Mar 2009 16:38:06 -0400 Audit of Public Transportation Benefit Program http://www.sec-oig.gov/Reports/AuditsInspections/2009/456.pdf 83255AE6-1A78-4A88-8CBE-3288A0567D68 Fri, 27 Mar 2009 16:32:48 -0400 2008 Audit of Sensitive Payments http://www.sec-oig.gov/Reports/AuditsInspections/2009/FINAL_Sensitive_Payments_Report.pdf 3180F33D-D9D7-4F15-ACB7-2C3434EBF8F5 Fri, 27 Mar 2009 16:32:35 -0400 OASIS System Report - 2008 FISMA http://www.sec-oig.gov/Reports/AuditsInspections/2009/FINAL%20PUBLIC%20OASIS%20Report.pdf 7D2F30F4-9A11-4BA3-878F-640975CB9534 Tue, 24 Mar 2009 16:32:24 -0400 Practices Related to Naked Short Selling Complaints and Referrals http://www.sec-oig.gov/Reports/AuditsInspections/2009/450.pdf 9E06C519-72CB-4487-BC82-E00063EE1BEB Wed, 18 Mar 2009 16:32:16 -0400 CTR System Report - 2008 FISMA http://www.sec-oig.gov/Reports/AuditsInspections/2009/FINAL%20PUBLIC%20CTR%20System%20Report.pdf AFC63EA9-90F7-4B16-9A73-EDA6CECD785E Fri, 27 Feb 2009 16:36:59 -0400 Division of Enforcement's Disgorgement Waivers http://www.sec-oig.gov/Reports/AuditsInspections/2009/452final.pdf AD9157B7-4E83-440C-B8F4-954AE16348BD Tue, 3 Feb 2009 15:34:26 -0500 Notification to the Office of Inspector General (OIG) of Decisions on Disciplinary Action and Settlement Agreements Involving Subjects of OIG Investigations http://www.sec-oig.gov/Reports/OOI/2009/Investigative%20Memorandum%20No.%20464.pdf 62B18D99-DC32-4448-8FBD-424B661E45DF Tue, 3 Feb 2009 15:34:15 -0500 Inspector General’s Financial Services Committee Testimony http://www.sec-oig.gov/Testimony/David%20Kotz%20House%20Committee%20on%20Financial%20Services.pdf BE1D484A-2E60-4533-8C15-5B5190F33636 Tue, 3 Feb 2009 15:33:33 -0500 2008 FISMA Executive Summary Report (Public Redacted Version) http://www.sec-oig.gov/Reports/AuditsInspections/2008/451final.pdf 3F26E935-0FD2-4941-B0BF-F775D0EBB0DC Fri, 24 Oct 2008 17:21:28 -0400 Inspection of Corporation Finance Referrals http://www.sec-oig.gov/Reports/AuditsInspections/2008/433final.pdf D18E3F4C-02B0-4D04-88B5-20D21BC3ED18 Tue, 30 Sep 2008 13:06:55 -0400 Survey of Enforcement's Hub System http://www.sec-oig.gov/Reports/AuditsInspections/2008/449final.pdf 5737808A-B677-4074-99E8-988196EE275B Mon, 29 Sep 2008 17:55:59 -0400 Audit of Premium Travel http://www.sec-oig.gov/Reports/AuditsInspections/2008/447final.pdf 13A172FE-E0B8-4CC0-85E1-944CBA4D164A Mon, 29 Sep 2008 17:55:59 -0400 SEC's Oversight of Bear Stearns and Related Entities: Consolidated-Supervised Entity Program http://www.sec-oig.gov/Reports/AuditsInspections/2008/446-a.pdf 22B968E2-B1AE-45CC-A1FA-AEC1EF0C5B86 Mon, 29 Sep 2008 16:34:59 -0400 SEC's Oversight of Bear Stearns and Related Entities: Broker-Dealer Risk Assessment Program http://www.sec-oig.gov/Reports/AuditsInspections/2008/446-b.pdf 0337CFD4-8B25-4C43-854C-C4D8B2AC3092 Fri, 26 Sep 2008 10:39:02 -0400 Internal Control Review of the Government Purchase Card Program http://www.sec-oig.gov/Reports/AuditsInspections/2008/440finmemo.pdf 94CF304B-1DEE-444B-B400-958E0DFE0D1D Fri, 19 Sep 2008 11:32:17 -0400 Attorney Annual Certification of Bar Membership http://www.sec-oig.gov/Reports/OOI/2008/455finmemo.pdf 4BDCEAD4-EB31-4C17-96BD-4F3561B200BC Wed, 10 Sep 2008 11:34:57 -0400 SafeSearch Filter on Internet Search Engines http://www.sec-oig.gov/Reports/OOI/2008/445finmemo.pdf 59D0AC68-CCAA-491F-BCC1-7C0FDB1E960E Thu, 21 Aug 2008 10:34:51 -0400 Prohibition on Use of Government Resources and Official Time to Support Private Businesses http://www.sec-oig.gov/Reports/OOI/2008/444finmemo.pdf DF65257B-2348-4A14-985B-4573D5EA5DE4 Thu, 21 Aug 2008 10:34:51 -0400 Internet Use Policies and Rules http://www.sec-oig.gov/Reports/OOI/2007/443finmemo.pdf 64607EB9-57B3-4B8D-97ED-258E7D2446F4 Thu, 21 Aug 2008 10:34:51 -0400 Semiannual Report to Congress, October 1, 2007 through March 31, 2008 http://www.sec-oig.gov/Reports/Semiannual/2008/semiapr08.pdf 69CC5021-0315-4AD7-8F74-540431A4336C Wed, 28 May 2008 15:03:24 -0400 Enterprise Architecture Assessment http://www.sec-oig.gov/Reports/AuditsInspections/2008/ir442.pdf 63E6E1DD-44B0-48E8-9F60-590C46329C96 Tue, 1 Apr 2008 10:42:42 -0400 Controls Over Laptops http://www.sec-oig.gov/Reports/AuditsInspections/2008/ir441.pdf B170F708-D48D-4B2D-B44D-6254E69F4574 Tue, 1 Apr 2008 10:42:42 -0400 SRO Rule Filing Process http://www.sec-oig.gov/Reports/AuditsInspections/2008/438final.pdf 7F3B1B59-EB6C-4FF0-B448-3549172CCFB0 Tue, 1 Apr 2008 10:42:42 -0400 Student Loan Program http://www.sec-oig.gov/Reports/AuditsInspections/2008/439final.pdf 6D9FDD88-EA49-48AD-8E88-6614AB113F0F Fri, 28 Mar 2008 14:39:36 -0400 Usefulness of IM's Website http://www.sec-oig.gov/Reports/AuditsInspections/2008/436final.pdf 1C9CA585-9C0B-40C0-B6DF-985C5BA099B5 Fri, 28 Mar 2008 14:39:36 -0400 Background Investigations http://www.sec-oig.gov/Reports/AuditsInspections/2008/434final.pdf 4821D4C4-747E-4412-9161-0B6228F94189 Fri, 28 Mar 2008 14:39:36 -0400 Oversight of Receivers and Distribution Agents http://www.sec-oig.gov/Reports/AuditsInspections/2007/432final.pdf E354C6D3-91B1-439C-BF79-438727CB9903 Fri, 14 Dec 2007 15:36:52 -0500 Semiannual Report to Congress, April 1, 2007 through September 30, 2007 http://www.sec-oig.gov/Reports/Semiannual/2007/semioct07.pdf B5405774-4DA9-400F-846C-64A4B1284793 Fri, 14 Dec 2007 15:36:52 -0500 Examiner Ethics Training and Exit Procedures http://www.sec-oig.gov/Reports/OOI/2007/oig-460finmemo.pdf E18D56D0-A6A2-4BC5-921C-02C9CC3DD036 Wed, 3 Oct 2007 12:49:43 -0500 Contract Ratifications http://www.sec-oig.gov/Reports/AuditsInspections/2007/430final.pdf 9E85219E-49A2-4953-9020-E1A9635E8393 Wed, 3 Oct 2007 12:49:43 -0500 Comments on Inspections Report of Contract Ratification http://www.sec-oig.gov/Reports/AuditsInspections/2007/430appendix.pdf 19C065A0-02DA-45F6-B459-09FDA99416E9 Wed, 3 Oct 2007 12:49:43 -0500 Investment Company Disclosure Initiatives http://www.sec-oig.gov/Reports/AuditsInspections/2007/421final.pdf 5375311A-0DA5-4C25-8403-E6B59FD65920 Wed, 3 Oct 2007 12:49:43 -0500 Requests to Registrants for Documents http://www.sec-oig.gov/Reports/OOI/2007/oig-449finmemo.pdf 357D2D44-566C-4EE4-A86C-FCFEC8706EA1 Wed, 3 Oct 2007 12:49:43 -0500 Electronic Documents Program http://www.sec-oig.gov/Reports/AuditsInspections/2007/428final.pdf 1945ACEC-E33D-4E31-AF0F-06A80EADAF9A Wed, 1 Aug 2007 09:56:16 -0500 Semiannual Report to Congress, October 1, 2006 through March 31, 2007 http://www.sec-oig.gov/Reports/Semiannual/2007/semiapr07.pdf 886B0D0B-1253-4E5C-B3AD-D088415AB9BA Wed, 6 Jun 2007 09:07:42 -0500 Verification of Bar Membership http://www.sec-oig.gov/Reports/OOI/2007/g-454finmemo.pdf FE5210DA-2E34-4856-8B6E-342E10B02B0A Mon, 30 Apr 2007 14:10:57 -0500 Backlog of FOIA Requests For Comment Letters http://www.sec-oig.gov/Reports/AuditsInspections/2007/422final.pdf C7AE7F9B-29BE-43EE-8498-11351B8C340C Mon, 30 Apr 2007 14:10:57 -0500 Audit of Full Disclosure Program's Staff Interpretive Guidance Process http://www.sec-oig.gov/Reports/AuditsInspections/2007/416final.pdf BE7BAACF-3EB6-41C8-9AEB-262F4EF25F6C Mon, 30 Apr 2007 14:10:57 -0500 Enforcement Performance Management http://www.sec-oig.gov/Reports/AuditsInspections/2007/423final.pdf 4885125C-0324-41D6-A8CA-0CBA42CF5B0F Mon, 30 Apr 2007 14:10:57 -0500 Semiannual Report to Congress, April 1, 2006 through September 30, 2006 http://www.sec-oig.gov/Reports/Semiannual/2006/semioct06.pdf CBA04248-CA70-4DFD-AA5C-DDBE50A02E61 Mon, 4 Dec 2006 14:16:30 -0500 Information Technology Management in Enforcement http://www.sec-oig.gov/Reports/AuditsInspections/2006/405final.pdf 4B62CE1B-31F8-4C1E-AF21-735E5EA345E4 Mon, 20 Nov 2006 12:40:48 -0500 Name Relationship Search Index (NRSI) Training and Warning http://www.sec-oig.gov/Reports/OOI/2006/g-442-433finmemo.pdf 39F8CC6A-B656-4C8C-89BF-4DCD2410A53C Mon, 13 Nov 2006 12:28:53 -0500 Personnel Files http://www.sec-oig.gov/Reports/AuditsInspections/2006/419fin.pdf 25663E83-5680-4532-B156-14C3FFE21B92 Mon, 2 Oct 2006 13:57:11 -0500 IM Exemptive Application Processing http://www.sec-oig.gov/Reports/AuditsInspections/2006/408final.pdf B99CF47D-9830-45C8-8794-348065B33A36 Mon, 2 Oct 2006 13:57:11 -0500 Audit of Oversight of PCAOB http://www.sec-oig.gov/Reports/AuditsInspections/2006/412final.pdf 30AB2351-6E34-4B4A-AF59-C7CE8D2262FE Thu, 28 Sep 2006 13:30:23 -0500 Law Student Observer Program http://www.sec-oig.gov/Reports/OOI/2006/g-444finmemo.pdf 6198C41B-603D-4083-9092-72591CCD5CEB Thu, 29 Jun 2006 17:40:33 -0500 Preliminary Review of Filings http://www.sec-oig.gov/Reports/AuditsInspections/2006/401fin.pdf 83A883E6-CE6D-45E7-967E-8E05AEDE11C5 Thu, 22 Jun 2006 11:33:13 -0500 Conflict of Interest Controls in Procurement http://www.sec-oig.gov/Reports/AuditsInspections/2006/404fin.pdf A4565697-F322-4091-8C32-4D8C36E646A7 Fri, 9 Jun 2006 11:44:48 -0500 Continuity of Operations Planning http://www.sec-oig.gov/Reports/AuditsInspections/2006/413final.pdf 4E9FC814-A4E9-42F7-B9C7-AF66167C41C3 Fri, 9 Jun 2006 11:44:48 -0500 Shuttle Bus Log and Employee Commuting Policy http://www.sec-oig.gov/Reports/OOI/2006/g-435finmemo.pdf E96B9079-B189-4688-A8ED-CCC29EEAF442 Fri, 9 Jun 2006 09:54:52 -0500 Semiannual Report to Congress, October 1, 2005 through March 31, 2006 http://www.sec-oig.gov/Reports/Semiannual/2006/semiapr06.pdf B3BA7057-1BFB-4B0C-8BB9-50FAF405E985 Thu, 8 Jun 2006 16:12:09 -0500 Workplace Violence Prevention Program http://www.sec-oig.gov/Reports/OOI/2006/pi06-17.pdf B2103426-88CD-4154-BEDB-629AA7237230 Thu, 8 Jun 2006 16:12:09 -0500 PRO Employee Clearance Process http://www.sec-oig.gov/Reports/AuditsInspections/2006/432othr.pdf 9BB69BD3-2394-469B-A71F-F7F489C3354E Thu, 8 Jun 2006 16:12:09 -0500 Pacific Regional Office http://www.sec-oig.gov/Reports/AuditsInspections/2006/414final.pdf 58053058-2598-4C5B-AAFC-ADF498DAB984 Thu, 8 Jun 2006 16:12:09 -0500 Disgorgements and Penalty Payments http://www.sec-oig.gov/Reports/AuditsInspections/2006/403fin.pdf 7982867C-FDB0-4117-B610-4EEC6864BD45 Thu, 8 Jun 2006 16:12:09 -0500