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SEC Examiners Will Include Reg BI Questions In Standard Firm Exams

Reg BI questions will likely be "integrated" into the SEC Division of Examination's regular programs, according to an associate director with the division.

Johns poliseKristen snyderDaniel kahlExchange commissionInvestment adviser company examination programPractising law instituteDivision of examinationsFinancial industry regulatory authorityNational broker dealer exchange programRegulation best interestDealer exchange programInvestment company examination program

SEC gov | Statement on the Renaming of the Office of Compliance Inspections and Examinations to the Division of Examinations

more than 500 municipal advisors, the Financial Industry Regulatory Authority (FINRA), the Municipal Securities Rulemaking Board (MSRB), the Securities Investor Protection Corporation (SIPC) and the Public Company Accounting Oversight Board (PCAOB). Over the past several years, in addition to responding to the growth in the investment adviser and national securities exchange populations, the Division has assumed examination responsibilities for many new types of registered entities – including private fund advisers, municipal advisors, Regulation SCI entities, and soon-to-be registered securities-based swap dealers – all highlighting the growing breadth and complexity of the Division’s responsibilities. Although conducting examinations is a primary function of the Division, it is not its only function. The Division also plays a significant role in proactively promoting compliance with the federal securities laws, with a focus on preventing problems before they occur. The Div

United statesPete driscollOffice of compliance inspectionsDivision of examinationsDivision of examinations theSecurities investor protection corporationTechnology controls programDivision of enforcementFinancial industry regulatory authorityNational examination programExchange examination programInvestment adviser company examination programSettlement examination programOffice of riskSecurities industry oversight examination programPublic company accounting oversight board

Statement On The Renaming Of The Office Of Compliance Inspections And Examinations To The Division Of Examinations - SEC Chairman Jay Clayton, Commissioner Hester M Peirce, Commissioner Elad L Roisman, Commissioner Allison Herren Lee, Commissioner Caroline A Crenshaw

more than 500 municipal advisors, the Financial Industry Regulatory Authority (FINRA), the Municipal Securities Rulemaking Board (MSRB), the Securities Investor Protection Corporation (SIPC) and the Public Company Accounting Oversight Board (PCAOB). Over the past several years, in addition to responding to the growth in the investment adviser and national securities exchange populations, the Division has assumed examination responsibilities for many new types of registered entities – including private fund advisers, municipal advisors, Regulation SCI entities, and soon-to-be registered securities-based swap dealers – all highlighting the growing breadth and complexity of the Division’s responsibilities. Although conducting examinations is a primary function of the Division, it is not its only function. The Division also plays a significant role in proactively promoting compliance with the federal securities laws, with a focus on preventing problems before they occur. The Div

United statesPete driscollOffice of compliance inspectionsDivision of examinationsDivision of examinations theSecurities investor protection corporationTechnology controls programDivision of enforcementFinancial industry regulatory authorityNational examination programExchange examination programInvestment adviser company examination programSettlement examination programOffice of riskSecurities industry oversight examination programPublic company accounting oversight board

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