‘Enforcement 40’ for 2020
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By Securities Docket on August 31, 2017, 7:48 am
In an investigation conducted at the request of four Senators, the SEC Inspector General concluded “we do not find that Commissioner Piwowar’s actions as Acting Chairman violated any of the laws currently governing the SEC and our review identified no evidence that his actions could either undermine the SEC’s mission or potentially prove to be […]
By Securities Docket on June 22, 2016, 1:11 pm
The Inspector General (IG) of the U.S. Securities and Exchange Commission (SEC) reported last week that the SEC has not sufficiently implemented information technology security upgrades in order to protect highly sensitive information from data breaches. The IG reported that SEC officials failed to deactivate idle user accounts, did not ensure that owners kept their […]
By Securities Docket on October 8, 2012, 7:33 pm
Outside review finds violation of ethics rules because investigations touched on people with whom former IG had “personal relationships.”
By Securities Docket on September 7, 2012, 4:23 pm
SEC asks interested applicants asked to respond by Sept. 11, 2012.
By Securities Docket on May 16, 2012, 7:44 pm
Investigators investigating investigators who are investigating investigators….
By Securities Docket on May 8, 2012, 12:52 pm
SEC orders independent inquiry into allegations of sexual misconduct by staff of its Office of the Inspector General.
By Securities Docket on January 17, 2012, 9:50 pm
SEC’s Inspector General leaving the agency for private sector.
By Securities Docket on December 9, 2011, 9:12 pm
Is the SEC’s IG promoting a “culture of fear within the agency?”
By Securities Docket on December 2, 2011, 1:12 pm
This year, two SEC employees have filed formal complaints against IG David Kotz.