Office of Audits » Issued Reports

2009200820072006200520042003200220012000199919981997199619951994

• 2009
  • February 27, 2009
    CTR System Report – 2008 FISMA (PDF), Report No. 462
  • Feb. 3, 2009
    Division of Enforcement's Disgorgement Waivers (PDF), Report No. 452
• 2008
  • Sep. 30, 2008
    Inspection of Corporation Finance Referrals (PDF), Report No. 433
  • Sep. 29, 2008
    2008 FISMA Executive Summary Report (PDF), Report No. 451
    (Public Redacted Version — Report Addresses Issues Associated With Information Security)
    
  • Sep. 29, 2008
    Survey of Enforcement's Hub System, (PDF), Report No. 449
  • Sep. 29, 2008
    Audit of Premium Travel (PDF), Report No. 447
  • Sep. 25, 2008
    SEC's Oversight of Bear Stearns and Related Entities: Broker-Dealer Risk Assessment Program (PDF), Report No. 446-B
  • Sep. 25, 2008
    SEC's Oversight of Bear Stearns and Related Entities: Consolidated-Supervised Entity Program (PDF) Report No. 446-A
  • Sep. 18, 2008
    Internal Control Review of the Government Purchase Card Program (PDF), Report No. 440
  • Sep. 16, 2008
    Enforcement Policies and Procedures for the Selection of Receivers, Administrators and Consultants (PDF), Report No. 454
  • Mar. 31, 2008
    Enterprise Architecture Assessment (PDF), Inspection Report No. 442
  • Mar. 31, 2008
    Controls Over Laptops (PDF), Inspection Report No. 441
  • Mar. 31, 2008
    SRO Rule Filing Process (PDF), Audit No. 438
  • Mar. 28, 2008
    Usefulness of IM's Website (PDF), Inspection Report No. 436
  • Mar. 28, 2008
    Background Investigations (PDF), Inspection Report No. 434
  • Mar. 27, 2008
    Student Loan Program (PDF), Report No. 439
• 2007
  • Dec. 12, 2007
    Oversight of Receivers and Distribution Agents (PDF), Evaluation No. 432
  • Sep. 25, 2007
    Contract Ratifications (PDF), Inspection No. 430
  • Sep. 25, 2007
    Comments on Inspections Report of Contract Ratification (PDF), Office Memorandum
  • Sep. 25, 2007
    Investment Company Disclosure Initiatives (PDF), Audit No. 421
  • Jul. 25, 2007
    Electronic Documents Program (PDF), Audit No. 428
  • Mar. 30, 2007
    Backlog of FOIA Requests For Comment Letters (PDF), Audit No. 422
  • Mar. 28, 2007
    Audit of Full Disclosure Program's Staff Interpretive Guidance Process (PDF), Audit No. 416
  • Feb. 8, 2007
    Enforcement Performance Management (PDF), Audit No. 423
• 2006
  • Nov. 14, 2006
    Information Technology Management in Enforcement (PDF), Audit No. 405
  • Sep. 29, 2006
    Personnel Files (PDF), (Inspection No. 419)
  • Sep. 29, 2006
    IM Exemptive Application Processing (PDF), Audit No. 408
  • Sep. 28, 2006
    Audit of Oversight of PCAOB (PDF), Audit No. 412
  • Jun. 22, 2006
    Preliminary Review of Filings (PDF), Audit No. 401
  • Jun. 8, 2006
    Conflict of Interest Controls in Procurement (PDF), Audit No. 404
  • Apr. 21, 2006
    Continuity of Operations Planning (PDF), Audit No. 413
  • Feb. 14, 2006
    Pacific Regional Office (PDF), Audit No. 414
  • Jan. 25, 2006
    Disgorgements and Penalty Payments (PDF), Audit No. 403
• 2005
  • Sep. 30, 2005
    IT Security Certification and Accreditation Process (PDF), Audit No. 411
  • Sep. 30, 2005
    Security Certification and Accreditation of EFOIA (PDF), Audit No. 410
  • Sep. 20, 2005
    Office of the Secretary (PDF), Audit No. 402
  • Aug. 26, 2005
    Recruitment, Classification, and Staffing (PDF), Audit No. 389
  • May 31, 2005
    Field Offices' Integrity Program (PDF), Audit No. 395
  • Mar. 29, 2005
    Planning Investment Management Filing Reviews (PDF), Audit No. 389
  • Jul. 14, 2005
    Operations Center Building Security (PDF), Audit No. 398
  • Mar. 24, 2005
    Software Management (PDF), Audit No. 393
  • Mar. 29, 2005
    Planning Investment Management Filing Reviews (PDF), Audit No. 395
• 2004
  • Dec. 20, 2004
    Midwest Regional Office (PDF), Audit No. 388
  • Dec. 20, 2004
    Northeast Regional Office (PDF), Audit No. 386
  • Dec. 3, 2004
    Forth Worth District Office (PDF), Audit No. 396
  • Dec. 2, 2004
    Salt Lake District Office (PDF), Audit No. 397
  • Sep. 10, 2004
    Federal Information Security Management Act (PDF), Audit No. 391
  • Sep. 13, 2004
    Document Imaging System (PDF), Audit Memorandum No. 38
  • Sep. 30, 2004
    Atlanta District Office (PDF), Audit No. 390
  • Sep. 29, 2004
    Targeting IA/IC Compliance Examinations (PDF), Audit No. 383
  • Jun. 25, 2004
    Independent Evaluation And Assessment of Internal Control for Contract Oversight (PDF), Audit No. 380
  • Sep. 14, 2004
    Disclosure Filings Examination and Accounting Reports (PDF), Audit No. 378
  • Jun. 29, 2004
    Office of Economic Analysis (PDF), Audit No. 385
  • Apr. 15, 2004
    Enterprise Architecture (PDF), Audit No. 381
  • Mar. 31, 2004
    Lost and Stolen Securities Program (PDF), Audit No. 377
  • Mar. 31, 2004
    Inappropriate Release of Non-Public Information (PDF), Audit Memorandum No. 37
  • Mar. 29, 2004
    Priority to Rural Areas for New Offices (PDF), Audit Memorandum No. 36
  • Mar. 29, 2004
    Planning the Enforcement of Full Disclosure Rules (PDF), Audit No. 356
  • Mar. 29, 2004
    IT Capital Investment Decision-Making Follow-Up (PDF), Audit No. 365
  • Mar. 29, 2004
    Small Business Regulation D Exemption Process (PDF), Audit No. 371
  • Mar. 29, 2004
    Commission Responses to Investor Inquiries (PDF), Audit No. 373
  • Mar. 29, 2004
    Commission Work/Life Program (PDF), Audit No. 379
  • Feb. 12, 2004
    Central Regional Office (PDF), Audit No. 382
  • Feb. 10, 2004
    Commission-Wide Use of X-Ray Scanners (PDF), Audit Memorandum No. 35
  • Jan. 22, 2004
    Discounted Airfare Tickets (PDF), Audit Memorandum No. 34
• 2003
  • Nov. 17, 2003
    Telephone Calling Card Program (PDF), Audit No. 376
  • Nov. 17, 2003
    Unclaimed Commission Property (PDF), Audit Memorandum No. 33
  • Oct. 20, 2003
    Regulation of Public Utility Holding Companies (PDF), Audit No. 372
  • Sep. 29, 2003
    Report of Changes in Independent Accountants, Audit Memorandum No. 32
  • Sep. 25, 2003
    San Francisco District Office, Audit No. 374
  • Sep. 23, 2003
    Compliance Examination Deficiency Letter Process, Audit No. 364
  • Aug. 21, 2003
    Contract for Temporary Clerical Services, Audit Memorandum No. PI03-25
  • Jul. 31, 2003
    SEC Recreation and Welfare Association Financial Management, Audit No. 368
  • Jun. 24, 2003
    Updated Personnel Guidance, Audit Memorandum No. 28
  • Jun. 19, 2003
    Priority to Location of New Offices in Rural Areas, Audit Memorandum No. 30
  • May 13, 2003
    Boston District Office, Audit No. 370
  • Southeast Regional Office, Audit No. 369
  • May 13, 2003
    Statutory Disqualification Review Process, Audit No. 363
  • Mar. 17, 2003
    Deterring Securities Recidivism, Audit No. 360
  • Apr. 29, 2003
    Facility Access Control Systems, Audit Memorandum No. 29
  • Jan. 31, 2003
    Independent Accountant's Report, Audit No. 362
  • Jan. 31, 2003
    Bankruptcy Program, Audit No. 355
  • Jan. 29, 2003
    Password Management for the Name Relationship Search Inquiry (NRSI) System, Audit Memorandum No. 27
  • Jan. 27, 2003
    Market Contingency Preparedness, Audit No. 359
  • Jan. 24, 2003
    Philadelphia District Office, Audit No. 366
  • Jan. 15, 2003
    Edgar Utility to Commission Staff, Audit No. 351
  • Jan. 13, 2003
    Enforcement Internet Program, Audit No. 352
• 2002
  • Dec. 16, 2002
    Administration of Information Technology Contracts, Audit No. 350
  • Nov. 25, 2002
    Purchase Cards, Audit No. 357
  • Sep. 30, 2002
    Continuity of Operations Planning (COOP), Audit Memorandum No. 26
  • Sep. 10, 2002
    Program Officials' Information Security Responsibilities, Audit Memorandum No. 24
  • Aug. 28, 2002
    Commission Web Security, Audit No. 361
  • Aug. 19, 2002
    Regional Telecommunication Security, Audit No. 353
  • Aug. 13, 2002
    Broker-Dealer Risk Assessment Program, Audit No. 354
  • Aug. 14, 2002
    Collection of Filing Fees, Audit No. 348
  • Aug. 8, 2002
    Travel Management, Audit No. 349
  • Jul. 12, 2002
    Rulemaking Process, Audit No. 347
  • Jul. 7, 2002
    Security of External Databases, Audit Memorandum No. 25
  • Jun. 4, 2002
    Recreation and Welfare Association's - Individual Employee Parking Program, Audit Memorandum No. 23
  • Mar. 28, 2002
    Priority to Location of New Offices in Rural Areas, Audit Memorandum No. 22
  • Mar. 29, 2002
    GPRA Performance Reports, Audit No. 329
  • Mar. 8, 2002
    Sensitive Information Follow-Up, Audit No. 333
  • Mar. 7, 2002
    Commission Oversight of NAFI, Audit No. 346
  • Feb. 14, 2002
    Pacific Regional Office, Audit No. 342
  • Jan. 22, 2002
    Information Technology Project Management, Audit No. 337
  • Feb. 4, 2002
    Printing and Publications Summary, Audit No. 335
  • Jan. 30, 2002
    CATS2000 Data, Audit No. 331
• 2001
  • Nov. 16, 2001
    Fort Worth District Office, Audit No. 345
  • Sep. 21, 2001
    Broker-Dealer Registration Process (PDF), Audit No. 341
  • Sep. 5, 2001
    Salt Lake City District Office (PDF), Audit No. 343
  • Aug. 18, 2001
    IT Decision Making Process (PDF), Audit No. 334
  • Aug. 15, 2001
    Comment Letter Follow-Up (PDF), Audit No. 326
  • Aug. 13, 2001
    Contractor Background Investigations (PDF), Audit No. 340
  • Aug. 13, 2001
    Staff Background Investigations (PDF), Audit No. 339
  • Aug. 13, 2001
    Security of Personnel Data Files (PDF), Audit No. 338
  • Jun. 28, 2001
    Compliance Inspection and Examination Referrals to Enforcement (PDF), Audit No. 322
  • May 31, 2001
    Real Property Leasing (PDF), Audit No. 330
  • Mar. 23, 2001
    FOIA Process (PDF), Audit No. 318
  • Feb. 23, 2001
    Integrity Program (PDF), Audit No. 313
  • Jan. 17, 2001
    Central Regional Office (PDF), Audit No. 328
  • Jan. 5, 2001
    Distribution of Mail (PDF), Audit No. 324
• 2000
  • Sep. 29, 2000
    Clearance Process (PDF), Audit No. 323
  • Sep. 28, 2000
    Investment Management No-Action and Interpretive Letters (PDF), Audit No. 316
  • Sep. 22, 2000
    Payroll Conversion (PDF), Audit No. 314
  • Sep. 22, 2000
    Audit Follow-Up Procedures (PDF), Audit No. 325
  • Aug. 1, 2000
    Office of Municipal Securities (PDF), Audit No. 315
  • Jun. 23, 2000
    Commissioners' Travel (PDF), Audit No. 319
  • Apr. 25, 2000
    Investor Education And Assistance Program (PDF), Audit No. 288
  • Apr. 21, 2000
    Travel Vouchers (PDF), Audit Memorandum No. 20
  • Mar. 31, 2000
    Oversight of Securities Investor Protection Corporation (PDF), Audit No. 301
  • Mar. 31, 2000
    Training (PDF), Audit No. 305
  • Mar. 31, 2000
    PBX and Analog Lines Security Assessment (PDF), Audit No. 309
  • Mar. 30, 2000
    Edgar Hardship Exemptions (PDF), Audit No. 308
  • Mar. 17, 2000
    Benchmarking Commission Procedures (PDF), Audit No. 310
  • Mar. 9, 2000
    Data Back-Up Procedures (PDF), Audit No. 299
  • Feb. 23, 2000
    Review of Periodic Reports (PDF), Audit No. 298
• 1999
  • Dec. 10, 1999
    Year 2000 Certification & Contingency Planning Activities (PDF), Audit No. 312
  • Nov. 18, 1999
    Investor and Small Business Town Meetings (PDF), Audit No. 303
  • Oct. 29, 1999
    Midwest Regional Office (PDF), Audit No. 307
  • Sep. 21, 1999
    Procurement and Contracting (PDF), Audit No. 290
  • Sep. 14, 1999
    Unix Security (PDF), Audit No. 296
  • Aug. 26, 1999
    Advance Commitment Program (PDF), Audit Memorandum No. 19
  • Aug. 24, 1999
    Oversight of Self-Regulatory Organization Arbitration (PDF), Audit No. 289
  • Jul. 19, 1999
    Reporting the Case Origins of Enforcement Investigations (PDF), Audit Memorandum No. 18
  • Jun. 8, 1999
    Acknowledgment Letters for the Branch of Public Reference (PDF),Audit Memorandum No. 17
  • Jun. 8, 1999
    Commissioners' Travel (PDF), Audit No. 294
  • May 27, 1999
    Help Desk (PDF), Audit Memorandum No. 13
  • May 3, 1999
    Survey of Sensitive Information (PDF), Audit No. 277
  • Mar. 18, 1999
    Enforcement Action Memoranda, Audit No. 276
  • Mar. 16, 1999
    GPRA Performance Measures (HTML), Audit No. 283
• 1998
  • Dec. 29, 1998
    Philadelphia District Office, Audit No. 286
  • Oct. 27, 1998
    International Technical Assistance, Audit No. 284
  • Oct. 23, 1998
    Boston District Office, Audit No. 287
  • Aug. 24, 1998
    GPRA Performance Measures, Audit No. 283
  • Aug. 24, 1998
    Year 2000 Compliance Efforts, Audit No. 285
  • Jul. 14, 1998
    Commission Review of SRO Rules, Audit No. 272
  • Jun. 26, 1998
    Review of Investment Company Filings, Audit No. 273
  • Jun. 5, 1998
    Travel Upgrades, Audit No. 281
  • May 26, 1998
    Commissioners' Travel, Audit No. 280
  • May 18, 1998
    Oversight of SRO Automation, Audit No. 268
  • Mar. 30, 1998
    San Francisco District Office, Audit No. 278
  • Mar. 30, 1998
    Fort Worth District Office, Audit No. 279
  • Mar. 30, 1998
    Payroll System, Audit No. 263
  • Mar. 18, 1998
    Compliance Inspections and Examinations , Audit No. 254
  • Feb. 2, 1998
    Comment Letter Process, Audit No. 259
  • Jan. 13, 1998
    Northeast Regional Office, Audit No. 270
  • Jan. 5, 1998
    Audit of Database Administration, Audit No. 269
• 1997
  • Sep. 30, 1997
    Commercial Credit Card Program, Audit No. 258
  • Sep. 29, 1997
    Automation of Records Management, Audit No. 262
  • Sep. 20, 1997
    Salt Lake District Office, Audit No. 265
  • Sep. 9, 1997
    Commission Integrity Program, Audit No. 267
  • Sep. 9, 1997
    Client Server, Audit No. 257
  • Jul. 18, 1997
    Central Regional Office Administrative and Financial Controls, Audit No. 264
  • May 2, 1997
    Value Engineering (VE) Program, Audit No. 260
  • Mar. 21, 1997
    Atlanta District Office Administrative and Financial Controls, Audit No. 256
  • Mar. 20, 1997
    Office of Filings & Information Services, Audit No. 244
  • Mar. 6, 1997
    SECOA Local Area Network, Audit No. 243
  • Feb. 12, 1997
    Space Management - Operations Center and Annex, Audit No. 249
  • Feb. 7, 1997
    Survey of the Economic Analysis Program, Audit No. 251
  • Jan. 22, 1997
    Enhancing Excellence - Integrity Program, Audit No. 250
  • Jan. 7, 1997
  • Enforcement Surveillance of Markets, Audit No. 246
• 1996
  • Nov. 2, 1996
    Equal Employment Opportunity Office, Audit No. 224
  • Oct. 15, 1996
    Regulation of Insurance Products, Audit No. 242
  • Sep. 30, 1996
    Headquarters Fitness Center, Audit No. 247
  • Sep. 9, 1996
    Survey of Reported Management Control Weaknesses, Audit No. 252
  • Aug. 27, 1996
    International Telephone Service, Audit No. 238
  • Aug. 21, 1996
    Transportation Subsidy Program, Audit No. 237
  • Aug. 1, 1996
    Selection of Filings for Review, Audit No. 229
  • May 15, 1996
    Enforcement Administrative Functions, Audit No. 233
  • May 9, 1996
    Information Technology Cost Savings, Audit No. 236
  • Mar. 29, 1996
    40 Act Exemptive Applications, Audit No. 230
  • Mar. 26, 1996
    IRM Planning and Execution, Audit No. 220
  • Feb. 8, 1996
    Collection of Filing Fees, Audit No. 225
  • Feb. 1, 1996
    Interagency Agreements, Audit No. 228
• 1995
  • Sep. 20, 1995
    Controls of Negotiated Settlements, Audit No. 218
  • Jul. 31, 1995
    Contingency Plans for PABX and Datacenter, Audit No. 226
  • Jun. 15, 1995
    Survey of Personnel Management, Audit No. 222
  • Feb. 9, 1995
    Market Contingency Preparedness, Audit No. 200
  • Feb. 7, 1995
    Survey of Information Technology, Audit No. 214
  • Feb. 2, 1995
    1995 Audit of Midwest Regional Office, Audit No. 216
  • Jan. 17, 1995
    Contractor Lobbying Statute - 1994, Audit No. 223
• 1994
  • Dec. 31, 1994
    1995 Audit on Southeast Regional Office, Audit No. 212
  • Dec. 28, 1994
    Office of Space Renovation, Audit No. 221
  • Dec. 12, 1994
    1995 Audit on Filing Activity Tracking System, Audit No. 213