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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, municipal advisors, 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


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Office Resources












See Also: Speeches and Statements by Commission Staff

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Compliance Outreach Program »

The Compliance Outreach Program was formed to promote open communications and coordination among securities regulators and the industry on mutual fund, investment adviser, and broker-dealer compliance issues.

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Modified: Jan. 11, 2016