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 secu...
Source: mondovisione.com