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National Exam Program
What's New
- Conflicts of Interest and Risk Governance
(Carlo V. di Florio, October 22, 2012)
- Letter to Industry Regarding Presence Exams
(October 9, 2012)
- Staff Summary Report on Examinations of Information Barriers: Broker-Dealer Practices Under Section 15(g) of the Securities Exchange Act of 1934
(September 27, 2012)
- "Pay-to-Play" Prohibitions for Brokers, Dealers and Municipal Securities Dealers under MSRB Rules
(August 31, 2012)
- Anti-Money Laundering Mutual Fund Source Tool
(Updated July 2, 2012)
- Anti-Money Laundering Broker-Dealer Source Tool
(Updated June 20, 2012)
- What SEC Registration Means for Hedge Fund Advisers
(Norm Champ, May 11, 2012)
- Address at the Private Equity International Private Fund Compliance Forum
(Carlo V. di Florio, May 2, 2012)
The Office of Compliance Inspections and Examinations ("OCIE") protects investors through administering the SEC's nationwide examination and inspection program. Examiners in Washington DC and in the Commission's 11 regional offices conduct examinations of the nation's registered entities, including broker-dealers, transfer agents, investment advisers, investment companies, the national securities exchanges, clearing agencies, SROs such as the Financial Industry Regulatory Authority ("FINRA") and the Municipal Securities Rulemaking Board, and the Public Company Accounting Oversight Board ("PCAOB"). OCIE’s mission is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The examination program plays a critical role in encouraging compliance within the securities industry, which in turn also helps to protect investors and the securities markets generally.
http://www.sec.gov/about/offices/ocie.shtml
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