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U.S. Securities and Exchange Commission


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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

Staff Letter

Transfer Agents

Transfer Agents: Rule 17Ad-13 Reporting Instructions

 

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


Modified: 12/14/2012