Skip to Main Content

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").

Learn more about the Office of Compliance Inspections and Examinations Learn more

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

Read More Learn more

 

Office Resources

2014

2012

2011

2010

2009

2008

2007

2006

2005

2004

See Also: Speeches and Statements by Commission Staff

What's New


govDelivery Icon E-mail Updates: Sign up for updates:Sign Up for Email Updates


Your contact information is used to deliver requested updates or access your subscriptions.


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.

Read More Learn more




Last modified: Aug. 27, 2014