The Division of Examinations conducts the SEC’s National Exam Program. The Division's mission is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The results of the Division's examinations are used by the SEC to inform rule-making initiatives, identify and monitor risks, improve industry practices and pursue misconduct.

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Examination Hotline »

 

The Division of Examinations' Office of Chief Counsel administers an Examination Hotline in coordination with the SEC's Office of Inspector General. The Examination hotline can be reached at 202-551-EXAM or via e-mail at the following link: Examination Hotline. Registrants may request anonymity when speaking with staff.

SEC Center for Complaints and Enforcement Tips
 
202-551-EXAM

examhotline@sec.gov

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