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Office of Compliance Inspections and Examinations

   Also found in: Acronyms 0.01 sec.
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.
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.


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