Office of Compliance Inspections and Examinations:
Information For

Broker-Dealers

Tips for Broker-Dealers on Avoiding Failures to Deliver Securities (UPDATED 11/25/08)

Requests for Independent Confirmation of Assets

Senior Investors

Division of Trading and Markets

Exchanges/SROs

Rulemaking

Investment Advisers

Information for Newly-Registered Investment Advisers

Core Initial Information Examiners Request of Investment Advisers

Advisers with Custody: Rule 206(4)-2(a)(3)(ii)(C) Reporting Instructions

Requests for Independent Confirmation of Assets

Division of Investment Management

Investors

Exam Staff Requests for Independent Confirmation of Assets

Municipal Advisers

Municipal Advisor Registration — Form MA-T

State of the Municipal Securities Markets

Proposed Permanent Rule Requiring Municipal Advisers to Register

NRSROs

Nationally Recognized Statistical Rating Organizations ("NRSROs")

Public Comment

Private Fund Advisers

Rulemaking

• Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF (Release No. IA-3145)
• Net Worth Standard for Accredited Investors (Release No. 33-9177)
• Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers with Less Than $150 Million in Assets Under Management, and Foreign Private Advisers (Release No. IA-3222)
• Rules Implementing Amendments to the Investment Advisers Act of 1940 (Release No. IA-3110)
• Custody of Funds or Securities of Clients by Investment Advisers (Release No. IA-2876)

Staff Letter

• Letter to Industry Regarding Presence Exams (October 9, 2012)

Transfer Agents

Transfer Agents: Rule 17Ad-13 Reporting Instructions

http://www.sec.gov/about/offices/ocie/ocie_infofor.shtml