United States, Securities and Exchange Commission, Office of Audits
Label
United States, Securities and Exchange Commission, Office of Audits
Name
United States
Subordinate unit
Securities and Exchange CommissionOffice of Audits
Actions
Incoming Resources
- Contributor of28
- Review of the Commission's processes for selecting investment advisers and Investment companies for examination, U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits
- SEC's controls over sensitive/nonpublic information collected and exchanged with the Financial Stability Oversight Council and Office of Financial Research, U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits
- Review of the SEC's systems certification and accreditation process, U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits
- Audit of the SEC's Contracting Officers' Representative program, U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits
- Management of the SEC's protective security force contract needs improvement, U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits
- Review of the SEC's practices for sanitizing digital information system media, U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits
- Assessment of SEC's system and network logs
- Audit of the SEC's physical security program, U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits
- Improvements needed in oversight of SEC-sponsored conferences
- SEC's use of justifications and approvals in sole-source contracting
- The Office of International Affairs internal operations and travel oversight, U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits
- Audit of SEC's Employee Recognition Program and recruitment, relocation, and retention incentives, U.S. Securties and Exchange Commission, Office of Inspector General, Office of Audits
- Review of SEC contracts for inclusion of language addressing Privacy Act requirements
- Assessment of the Office of Investor Education and Advocacy's functions
- Audit of the SEC's Student Loan Repayment Program
- Audit of the representation of minorities and women in SEC's workforce, U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits
- Assessment of SEC's Continuous Monitoring Program
- Audit of the Office of the Ethics Counsel's oversight of employee securities holdings, U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits
- SEC's controls over government furnished equipment and contractor acquired property
- Audit of the SEC's information technology requirements--gathering process, U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits
- Review of the SEC's continuity of operations program
- Implementation of the current guidance on economic analysis in SEC rulemakings
- SEC's records management practices
- Evaluation of the SEC's Whistleblower Program, U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits
- Audit of Public Transportation Benefit Program, U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits
- Office of Compliance Inspections and Examinations' management of investment adviser examination coverage goals
- Audit of the SECs Filing Fees Program, U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits
- Improvements needed in the Division of Enforcement's oversight of fund administrators, U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits
- Creator of43
- Inspection of corporation finance referrals, memorandum
- Review of PRISM automated procurement system support contracts
- Practices related to naked short selling complaints and referrals
- Audit of the SEC budget execution cycle
- Assessment of the SEC information technology investment process
- Program improvements needed within the SEC's Division of Enforcement
- The SEC's role regarding and oversight of nationally recognized statistical rating organizations (NRSROs), U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits
- Review of the SEC's compliance with the Freedom of Information Act, prepared by Elizabeth A. Bunker, contractor
- SEC's oversight of the Securities Investor Protection Corporation's activities
- Evaluation of the SEC encryption program
- Audit of the SEC's management of its data centers
- Review of the SEC's Section 13(f) reporting requirements
- OASIS system report - 2008 FISMA, U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits
- SEC's oversight of Bear Stearns and related entities
- OCIE regional offices' referrals to enforcement
- CTR system report - 2008 FISMA, U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits
- Assessment of the SEC's privacy program
- SEC's oversight of Bear Stearns and related entities
- Audit of the Office of Acquisitions' procurement and contract management functions
- Controls over the SEC's inventory of laptop computers
- Review of alternative work arrangements, overtime compensation, and COOP-related activities at the SEC.
- Division of Enforcement's disgorgement waivers
- Audit of the Office of Compliance Inspections and Examinations' investment adviser examination completion process
- Evaluation of the SEC privacy program
- Audit of the SEC's compliance with the Federal Information Security Modernization Act for fiscal year ...
- Oversight of and compliance with conditions and representations related to exemptive orders and no-action letters
- Controls over the SEC's government purchase card program
- Audit of the SEC's process for reviewing self-regulatory organizations' proposed rule changes
- Real property leasing procurement process
- Internal control review of the Government Purchase Card program
- Management and oversight of interagency acquisition agreements at the SEC.
- Audit of the SEC's internal controls for retaining external experts and foreign counsel for the Division of Enforcement
- Review and analysis of OCIE examinations of Bernard L. Madoff Investment Securities, LLC
- Assessment of the SEC's bounty program
- The SEC's implementation of and compliance with Homeland Security presidential directive 12
- Audit of Public Transportation Benefit Program, U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits
- Audit of SEC's controls over support service, expert and consulting service contracts
- Assessment of Corporation Finance's confidential treatment processes and procedures
- Review of the commission's processes for selecting investment advisers and investment companies for examination
- Regulation D exemption process, U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits
- Review of the Commission's restacking project, U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits
- 2009 FISMA executive summary report
- Audit of the FedTraveler Travel Service
- Author of19
- Audit of the SEC's internal controls for retaining external experts and foreign counsel for the Division of Enforcement
- Review and analysis of OCIE examinations of Bernard L. Madoff Investment Securities, LLC
- SEC's oversight of Bear Stearns and related entities
- CTR system report - 2008 FISMA, U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits
- Controls over the SEC's government purchase card program
- Audit of the SEC's process for reviewing self-regulatory organizations' proposed rule changes
- Oversight of and compliance with conditions and representations related to exemptive orders and no-action letters
- Audit of the Office of Compliance Inspections and Examinations' investment adviser examination completion process
- Audit of the SEC's compliance with the Federal Information Security Modernization Act for fiscal year ...
- Review of the Commission's restacking project, U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits
- Audit of SEC's controls over support service, expert and consulting service contracts
- Audit of the SEC's management of its data centers
- OASIS system report - 2008 FISMA, U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits
- SEC's oversight of Bear Stearns and related entities
- Review of the commission's processes for selecting investment advisers and investment companies for examination
- Regulation D exemption process, U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits
- Controls over the SEC's inventory of laptop computers
- Review of alternative work arrangements, overtime compensation, and COOP-related activities at the SEC.
- Internal control review of the Government Purchase Card program
- inverse.issuingbody26
- Review of the SEC's continuity of operations program
- Audit of the Office of the Ethics Counsel's oversight of employee securities holdings, U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits
- Review of the SEC's practices for sanitizing digital information system media, U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits
- Implementation of the current guidance on economic analysis in SEC rulemakings
- Audit of the SECs Filing Fees Program, U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits
- Improvements needed in the Division of Enforcement's oversight of fund administrators, U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits
- Assessment of SEC's system and network logs
- SEC's use of justifications and approvals in sole-source contracting
- Improvements needed in oversight of SEC-sponsored conferences
- Audit of the SEC's physical security program, U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits
- Audit of the representation of minorities and women in SEC's workforce, U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits
- The Office of International Affairs internal operations and travel oversight, U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits
- Audit of the SEC's Student Loan Repayment Program
- Assessment of the Office of Investor Education and Advocacy's functions
- Office of Compliance Inspections and Examinations' management of investment adviser examination coverage goals
- SEC's records management practices
- Evaluation of the SEC's Whistleblower Program, U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits
- Review of the SEC's systems certification and accreditation process, U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits
- SEC's controls over sensitive/nonpublic information collected and exchanged with the Financial Stability Oversight Council and Office of Financial Research, U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits
- Management of the SEC's protective security force contract needs improvement, U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits
- Audit of the SEC's Contracting Officers' Representative program, U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits
- Audit of the SEC's information technology requirements--gathering process, U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits
- SEC's controls over government furnished equipment and contractor acquired property
- Audit of SEC's Employee Recognition Program and recruitment, relocation, and retention incentives, U.S. Securties and Exchange Commission, Office of Inspector General, Office of Audits
- Review of SEC contracts for inclusion of language addressing Privacy Act requirements
- Assessment of SEC's Continuous Monitoring Program