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Office of Compliance Inspections and Examinations

Office of Compliance Inspections and Examinations

 

About the Office »


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").

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Examination Hotline »


OCIE's Office of Chief Counsel, administers an Examination Hotline in coordination with the Commission's Office of the Inspector General.

The Hotline is available to any registrant with a question, complaint, or concern about an SEC examination.

SEC Center for Complaints and Enforcement Tips

202-551-EXAM
examhotline@sec.gov

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Office Resources

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2004

See Also: Speeches and Statements by Commission Staff

Modified: May 5, 2015