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Office of Compliance Inspections and Examinations
What's New
- Remarks at the Compliance Outreach Program
(Carlo V. di Florio, Jan. 31, 2012)
- Letter to FINRA: Implementation of the SEC's Request to FINRA Member Broker-Dealers Regarding an Amendment to 31 C.F.R. § 1023.320, Confidentiality of Suspicious Activity Reports
(Jan. 26, 2012)
- Open Letter to CEOs of All SEC-Registered, FINRA Member Broker-Dealers Regarding an Amendment to 31 C.F.R. § 1023.320 , Confidentiality of Suspicious Activity Reports.
(January 26, 2012)
- Investment Adviser Use of Social Media
(Jan. 4, 2012)
- Broker-Dealer Branch Inspections
(Nov. 30, 2011)
- The Role of Compliance and Ethics in Risk Management
Carlo V. di Florio (Oct. 17, 2011)
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, the nationally recognized statistical rating organizations ("NRSRO"s), 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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