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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. ....

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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 oc ....

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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 oc ....

United States , Pete Driscoll , Office Of Compliance Inspections , Division Of Examinations , Division Of Examinations The , Securities Investor Protection Corporation , Technology Controls Program , Division Of Enforcement , Financial Industry Regulatory Authority , National Examination Program , Exchange Examination Program , Investment Adviser Company Examination Program , Settlement Examination Program , Office Of Risk , Securities Industry Oversight Examination Program , Public Company Accounting Oversight Board , Examination Team , Compliance Inspections , Municipal Securities Rulemaking Board , Investment Company Examination Program , Emerging Risks Examination , ஒன்றுபட்டது மாநிலங்களில் , பீட் ட்ரிஸ்கல் , அலுவலகம் ஆஃப் இணக்கம் ஆய்வுகள் , பிரிவு ஆஃப் தேர்வுகள் , பிரிவு ஆஃப் தேர்வுகள் தி ,