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Securities and Exchange Commission OIG

Abbreviation: 
SEC
Agencies Overseen: 
What to Report to the OIG Hotline: 

The OIG welcomes information about fraud, waste, abuse, or mismanagement affecting the Securities and Exchange Commission's (SEC) programs and operations, as well as allegations of wrongdoing by SEC employees, contractors, and consultants. To facilitate the making of complaints, the OIG maintains a hotline for the confidential reporting of these matters to the OIG. Hotline complaints may be made by either calling the OIG's toll-free hotline number, (833) SEC-OIG1 (732-6441) or online via www.sec.gov/oig

Complainants are encouraged to assist the OIG by providing their names and information. Complainants also may request that their identity remain confidential or remain anonymous by not providing any identifying information.

What Not to report to the OIG Hotline : 

Some matters are outside the OIG's jurisdiction and are handled by other agency components. To file a complaint about a securities law violation or to provide a tip on a potential security law violation, please go to the SEC for Enforcement Tips and Complaints.

To file 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.