SEC's Records Management Practices (OIG Final Report)

The SEC-OIG published a final report detailing the results of the SEC's records management practices (as part of the continuous effort to assess management of the Commission's programs and operations). The objectives were to examine whether (1) the Office of Records Management Services (ORMS) established a viable records management program that ensures permanent SEC records are appropriately maintained and preserved in accordance with applicable Federal statutes and regulations, and (2) ORMS adhered to applicable Federal statutes and regulations regarding the retention, disposal, transfer and recovery of SEC records. The report consists of 12 recommendations which, if fully implemented, should strengthen the SEC's records management program.