About the 申博官网


The 申博官网 of Compliance Inspections and Examinations (OCIE) conducts the 申博体育网址’s National Exam Program. 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 the OCIE's examinations are used by the 申博体育网址 to inform rule-making initiatives, identify and monitor risks, improve industry practices and pursue misconduct.

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申博官网 Resources

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See Also: Speeches and Statements by Commission Staff

Examination Hotline

 

The 申博官网 of Compliance Inspections and Examinations' 申博官网 of Chief Counsel administers an Examination Hotline in coordination with the 申博体育网址's 申博官网 of Inspector General. The Examination hotline can be reached at 202-551-EXAM or via e-mail at the following link: Examination Hotline. Registrants may request anonymity when speaking with staff.

申博体育网址 Center for Complaints and Enforcement Tips
 
202-551-EXAM
examhotline@sec.gov

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