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United States. Securities and Exchange Commission. Office of Audits.
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1
Assessment of the SEC's bounty program
by
United
States
.
Securities
and
Exchange
Commission
.
Office
of
Audits
.
Published: U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits, 2010
Description: 1 online resource (vii, 31 pages).
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2
Evaluation of the SEC privacy program
Redacted public version.
by
United
States
.
Securities
and
Exchange
Commission
.
Office
of
Audits
.
Published: U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits, 2010
Description: 1 online resource (iv, 13 pages).
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3
Assessment of the SEC information technology investment process
by
United
States
.
Securities
and
Exchange
Commission
.
Office
of
Audits
.
Published: U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits, 2010
Description: 1 online resource (vi, 44 pages).
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4
Management and oversight of interagency acquisition agreements at the SEC
by
United
States
.
Securities
and
Exchange
Commission
.
Office
of
Audits
.
Published: U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits, 2010
Description: 1 online resource (ix, 57 pages).
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5
Review of the SEC's Section 13(f) reporting requirements
by
United
States
.
Securities
and
Exchange
Commission
.
Office
of
Audits
.
Published: U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits, 2010
Description: 1 online resource (x, 45 pages).
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6
Assessment of Corporation Finance's confidential treatment processes and procedures
by
United
States
.
Securities
and
Exchange
Commission
.
Office
of
Audits
.
Published: U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits, 2010
Description: 1 online resource (ix, 40 pages).
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7
CTR system report - 2008 FISMA
Redacted public version.
by
United
States
.
Securities
and
Exchange
Commission
.
Office
of
Audits
,
Published: United States Securities and Exchange Commission, Office of Inspector General, 2009
Description: 1 online resource (18 pages).
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8
Review of the commission's processes for selecting investment advisers and investment companies for examination
by
United
States
.
Securities
and
Exchange
Commission
.
Office
of
Audits
,
Published: U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits, 2009
Description: 1 online resource (57 pages)
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9
Review and analysis of OCIE examinations of Bernard L. Madoff Investment Securities, LLC
by
United
States
.
Securities
and
Exchange
Commission
.
Office
of
Audits
,
Published: U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits, 2009
Description: 1 online resource (viii, 76 pages)
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10
Regulation D exemption process
by
United
States
.
Securities
and
Exchange
Commission
.
Office
of
Audits
,
Published: United States Securities and Exchange Commission, Office of Inspector General, 2009
Description: 1 online resource (x, 61 pages).
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11
Review of the Commission's restacking project
by
United
States
.
Securities
and
Exchange
Commission
.
Office
of
Audits
,
Published: United States Securities and Exchange Commission, Office of Inspector General, 2009
Description: 1 online resource (vii, 46 pages).
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12
Audit of SEC's controls over support service, expert and consulting service contracts
by
United
States
.
Securities
and
Exchange
Commission
.
Office
of
Audits
,
Published: U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits, 2013
Description: 1 online resource (vii, 34 pages).
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13
Audit of the SEC's process for reviewing self-regulatory organizations' proposed rule changes
by
United
States
.
Securities
and
Exchange
Commission
.
Office
of
Audits
,
Published: U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits, 2016
Description: 1 online resource (iii, 27 pages) : illustration.
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14
Audit of the Office of Compliance Inspections and Examinations' investment adviser examination completion process
by
United
States
.
Securities
and
Exchange
Commission
.
Office
of
Audits
,
Published: U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits, 2017
Description: 1 online resource (ii, 17 pages).
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15
OASIS system report - 2008 FISMA
Public redacted version.
by
United
States
.
Securities
and
Exchange
Commission
.
Office
of
Audits
,
Published: United States Securities and Exchange Commission, Office of Inspector General, 2009
Description: 1 online resource (22 pages).
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16
Oversight of and compliance with conditions and representations related to exemptive orders and no-action letters
by
United
States
.
Securities
and
Exchange
Commission
.
Office
of
Audits
,
Published: U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits, 2011
Description: 1 online resource (viii, 44 pages).
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17
Review of alternative work arrangements, overtime compensation, and COOP-related activities at the SEC
by
United
States
.
Securities
and
Exchange
Commission
.
Office
of
Audits
,
Published: U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits, 2011
Description: 1 online resource (xv, 72 pages).
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18
SEC's oversight of Bear Stearns and related entities. The Consolidated Supervised Entity Program
by
United
States
.
Securities
and
Exchange
Commission
.
Office
of
Audits
,
Published: U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits, 2008
Description: 1 online resource (xvi, 121 pages)
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19
SEC's oversight of Bear Stearns and related entities. Broker-Dealer Risk Assessment Program
by
United
States
.
Securities
and
Exchange
Commission
.
Office
of
Audits
,
Published: U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits, 2008
Description: 1 online resource (viii, 36 pages)
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20
Inspection of corporation finance referrals : memorandum
by
United
States
.
Securities
and
Exchange
Commission
.
Office
of
Audits
.
Published: U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits, 2008
Description: 1 online resource (10 pages).
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