National Exam Program
The Office of Compliance Inspections and Examinations ("OCIE")
protects investors through administering the SEC's nationwide
examination and inspection program. Examiners in Washington DC and in
the Commission's 11 regional offices conduct examinations of the
nation's registered entities, including broker-dealers, transfer agents,
investment advisers, investment companies, the national securities
exchanges, clearing agencies, SROs such as the Financial Industry
Regulatory Authority ("FINRA") and the Municipal Securities Rulemaking
Board, and the Public Company Accounting Oversight Board ("PCAOB").
OCIE’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 examination program plays a critical role in
encouraging compliance within the securities industry, which in turn
also helps to protect investors and the securities markets generally.