U.S. Securities & Exchange Commission
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U.S. Securities and Exchange Commission

Examinations and Compliance

The Office of International Affairs has used the materials in this section as educational and training materials in past training programs, and may also use them in future programs. Materials authored by individual members of the Commissionís staff reflect the views of the author, and not necessarily the views of the Commission, individual Commissioners, or the Commission staff. The selection of materials furnished by non-federal persons or entities does not necessarily imply Commission endorsement of the materials, any legal or policy positions stated in them, or their source. Additional training materials will be added as they become available.

Certain of the selected materials may contain, refer to, or explain particular statutes, rules, regulations, orders, and interpretations. These are subject to change, and you should rely only on the actual statutes, rules, regulations, orders, and interpretations that are currently in force. If you have questions concerning the meaning, application, or status of a particular statute, rule, regulation, order, or interpretation, you should consult with an attorney who specializes in securities law.

Broker Dealer Compliance

Anti-Money Laundering

Broker Dealer Supervisory Liability



Modified: 10/12/2006