About the Office »


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

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

Office Resources

2016

2015

2014

2012

2011

2010

2009

2008

2007

2006

2005

2004

See Also: Speeches and Statements by Commission Staff

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

Read More Learn more