Office of Compliance Inspections and Examinations


Also found in: Acronyms.

Office of Compliance Inspections and Examinations

A division of the SEC that investigates and regulates broker-dealers, exchanges, mutual funds and other investment companies. Additionally, the Office is responsible for investment advisers and credit rating agencies.

Office of Compliance Inspections and Examinations

An SEC office that administers nationwide examinations and inspections for registered self-regulatory organizations, broker-dealers, transfer agents, clearing agencies, investment companies, and investment advisers. The office is charged with detecting and correcting compliance problems.
References in periodicals archive ?
The SEC Office of Compliance Inspections and Examinations (OCIE), as well as many state regulatory agencies, operates a proactive compliance program covering various securities industry participants--including investment advisers.
Common Mistakes In recent examinations of investment advisers by the SEC Office of Compliance Inspections and Examinations (OCIE), the most common deficiencies concerned * Form ADV/brochure.
Source: "The SEC Speaks in 2002," Office of Compliance Inspections and Examinations, vol.
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