Office of Compliance Inspections and Examinations:
Staff Letters and ComplianceAlerts

Staff Letters

• 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 (January 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)
   
• "Dear CEO" Letter Regarding the Importance of Compliance Programs (December 2, 2008)
   
• Letter from Lori Richards to Investment Advisers (May 1, 2000)

Risk Alerts

• Strengthening Practices for the Underwriting of Municipal Securities (March 19, 2012)
   
• Strengthening Practices for Preventing and Detecting Unauthorized Trading and Similar Activities (February 27, 2012)
   
• Investment Adviser Use of Social Media (January 4, 2012)
   
• Broker-Dealer Branch Inspections (November 30, 2011)
   
• Master/Sub-accounts (September 29, 2011)

ComplianceAlerts

• July 2008
   
• June 2007

http://www.sec.gov/about/offices/ocie/ocie_guidance.shtml