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.
References in periodicals archive ?
Office of Compliance Inspections and Examinations staff in the Commission's Atlanta Regional Office can be reached by phone at 404-842-7600 or email at atlanta@sec.gov
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.
The SEC's Office of Compliance Inspections and Examinations (OCIE), in coordination with the SEC's Division of Trading and Markets, is sponsoring the program with FINRA.
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.
He will report directly to Chairman Clayton and will work closely with staff across the agency, including in the Divisions of Trading and Markets, Investment Management, and Economic and Risk Analysis, and the Office of Compliance Inspections and Examinations, among others.
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.
David has been a tireless advocate for investors during his time in the Chicago Regional Office, said Pete Driscoll, Director of the SECs Office of Compliance Inspections and Examinations (OCIE).
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.
The SECs Office of Compliance Inspections and Examinations (OCIE) and Office of Municipal Securities are partnering with FINRA and the MSRB to sponsor the program.
The SEC's Office of Compliance Inspections and Examinations, in coordination with the SEC's Office of Municipal Securities, is partnering with FINRA and the MSRB to sponsor the program.
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