Office of Compliance Inspections and Examinations

A division of the SEC that investigates and regulates broker-dealers, exchanges, mutual funds and other investment companies. Additionally, the Office is responsible for investment advisers and credit rating agencies.

Office of Compliance Inspections and Examinations

An SEC office that administers nationwide examinations and inspections for registered self-regulatory organizations, broker-dealers, transfer agents, clearing agencies, investment companies, and investment advisers. The office is charged with detecting and correcting compliance problems.

单词	office of compliance inspections and examinations
释义	Office of Compliance Inspections and Examinations Office of Compliance Inspections and Examinations A division of the SEC that investigates and regulates broker-dealers, exchanges, mutual funds and other investment companies. Additionally, the Office is responsible for investment advisers and credit rating agencies. Office of Compliance Inspections and Examinations An SEC office that administers nationwide examinations and inspections for registered self-regulatory organizations, broker-dealers, transfer agents, clearing agencies, investment companies, and investment advisers. The office is charged with detecting and correcting compliance problems. AcronymsSeeOCIE
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