Office of Compliance Inspections and Examinations

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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.

Wall Street Words: An A to Z Guide to Investment Terms for Today's Investor by David L. Scott. Copyright © 2003 by Houghton Mifflin Company. Published by Houghton Mifflin Company. All rights reserved. All rights reserved.

References in periodicals archive ?

Source: "Financial Services Institute: First Annual Public Policy Day," a speech by Lori Richards, director, SEC Office of Compliance Inspections and Examinations, October 13, 2004.

How to prevent investment adviser fraud

The Office of Compliance Inspections and Examinations says the list of most frequently identified compliance failures were sent to SEC-registered advisors via deficiency letters.

SEC's Top 5 Most Common Advisor Compliance Failures

Snyder and Jarcho, who was also named deputy director of the SEC's Office of Compliance Inspections and Examinations in February, will oversee more than 520 lawyers, accountants and examiners responsible for inspections of SEC-registered investment advisors and investment companies.

SEC Names Snyder Co-Head of Advisor Exams

The SEC also announced Wednesday that Jane Jarcho, national director of investment advisor exams, has been named deputy director of the agency's Office of Compliance Inspections and Examinations.

SEC Said to Be Shifting Examiners to RIAs; Jarcho Named Deputy Director of SEC Exams