Office of Inspector General

Emergencies

If the alleged wrongdoing involves an imminent threat to an employee or public's health, safety, and/or security, please contact 911 or your local emergency services immediately.

Confidentiality/Anonymity

You are encouraged to assist the OIG by providing your name and contact information. You may request that your identity remain confidential. You may also remain anonymous by not providing any identifying information. Visitors to this website are not tracked.

Instructions

The OIG conducts audits and evaluations of SEC programs and operations and investigates allegations of fraud, waste, or abuse at or against the SEC. The OIG has the authority to investigate violations of laws, rules and regulations or other misconduct by SEC staff, contractors, consultants, or any person or entity involved in alleged wrongdoing affecting the SEC's programs and operations. You should use this web-based reporting system to file complaints within the OIG’s jurisdiction by clicking the “Begin Report” link below.

Other Reporting Options

If you have a complaint about securities fraud, visit the SEC Center for Complaints and Enforcement Tips at www.sec.gov/complaint.shtml.

If you have 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 at (800) 732-0330 or www.sec.gov/page/oieasectionlanding.

If you believe you have been subjected to discrimination, harassment, or retaliation in violation of federal EEO laws or SEC policy, contact the SEC’s Office of Equal Employment Opportunity (OEEO) or an EEO Counselor by telephone (202) 551-6040, fax (202) 772-9316, or in person.

If you believe someone violated the Hatch Act, a federal law passed in 1939, that limits certain political activities of federal employees, as well as some state, D.C., and local government employees who work in connection with federally funded programs, contact the Office of Special Counsel at (800) 85-HATCH, hatchact@osc.gov, or www.osc.gov/.

If you a current federal employee, former employee, or applicant for federal employment who believes you have been subjected to whistleblower retaliation by a Federal official for making a protected disclosure involving SEC programs, operations, personnel, or funding, in addition to contacting the SEC OIG (see below), you may also reach out to the Office of Special Counsel at (202) 804-7000, info@osc.gov, or www.osc.gov/.

Assistance

As an alternative to this web-based reporting system, you may also call the OIG’s toll-free hotline number (833) SECOIG1 (732-6441). Your call will be directed to a hotline operator who will document all important details of your complaint, as well as any requests for confidentiality or anonymity.

OIG Evaluation

The OIG will evaluate your complaint and determine an appropriate course of action. Options include opening an OIG review (audit, evaluation or investigation); referring the matter to a SEC Division or Office for review and corrective action, if warranted; referring the matter to another Federal agency; or taking no action (allegations that do not involve a potential violation of law, rule, regulation, or policy as well as allegations with limited specificity or merit may be closed with no further action). Due to privacy interests, we do not provide complainants with updates on, or the results of, complaints and/or investigative matters.