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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) conducts the SEC’s National Examination Program (NEP). 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 results of OCIE’s examinations are used by the SEC to inform rule-making initiatives, identify and monitor risks, improve industry practices and pursue misconduct.

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Examination Hotline »

 

OCIE's Office of Chief Counsel, administers an Examination Hotline in coordination with the SEC'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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See Also: Speeches and Statements by Commission Staff

 
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Compliance Outreach »


OCIE's Compliance Outreach Program promotes open communication and coordination among securities regulators and the industry on mutual fund, investment adviser, and broker-dealer compliance issues.

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Modified: Feb. 7, 2017