The department within the Securities & Exchange Commission (SEC) responsible for inspecting and examining brokers, dealers, self-regulatory organizations, clearinghouses, and other market participants.
Related information about Office of Compliance Inspections and Examinations (OCIE):
- National Exam Program
The Office of Compliance Inspections and Examinations ("OCIE") protects investors through administering the SEC's nationwide examination and inspection ...
- Andrew Bowden Named Deputy Director in the SEC's Office of ...
Sep 12, 2012... J. Bowden has been named Deputy Director of the agency's Office of Compliance Inspections and Examinations (OCIE). He succeeds Norm ...
- Letter to Industry Regarding Presence Exams - Securities and ...
Oct 9, 2012 ... administered by the Office of Compliance Inspections and Examinations ("OCIE") within the. United States Securities and Exchange ...
- What is Office of Compliance Inspections and Examinations (OCIE ...
Definition of Office of Compliance Inspections and Examinations (OCIE): The department within the Securities & Exchange Commission (SEC) responsible for ...
- Office Of Compliance Inspections And Examinations (OCIE)
Sep 28, 2012 ... Nelson Peltz Is Still Scaring Companies (BusinessWeek) Mark Fetting, chief executive officer of Legg Mason, Inc. (NYSE:LM), was out of time.
- SEC Staff and FINRA Issue Risk Alert on Broker- Dealer Branch ...
Nov 30, 2011 ... Washington, DC, November 30, 2011 The Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE) ...
- Blank Rome LLP | SEC/SRO Update
Recently, the Director of the Securities and Exchange Commission's (SEC's) Office of Compliance Inspections and Examinations (OCIE), Carlo V. di Florio, ...
- SEC Associate Director and Chief Counsel John Haggerty Walsh ...
Sep 15, 2011 ... At the SEC, Mr. Walsh played an instrumental role in creating the Office of Compliance Inspections and Examinations (OCIE), designing and ...