Office of Compliance Inspections and Examinations

URI: https://gptkb.org/entity/Office_of_Compliance_Inspections_and_Examinations
GPTKB entity
AI-created image of Office of Compliance Inspections and Examinations
AI-created image
Statements (20)
Predicate Object
gptkbp:instanceOf gptkb:government_agency
gptkbp:abbreviation gptkb:OCIE
gptkbp:country gptkb:United_States
gptkbp:established 1995
gptkbp:focus broker-dealers
investment advisers
mutual funds
self-regulatory organizations
clearing agencies
transfer agents
securities industry
exchanges
gptkbp:partOf gptkb:U.S._Securities_and_Exchange_Commission
gptkbp:renamed gptkb:Division_of_Examinations
2020
gptkbp:responsibleFor conducting examinations
conducting inspections
gptkbp:bfsParent gptkb:Securities_and_Exchange_Commission
gptkbp:bfsLayer 3
https://www.w3.org/2000/01/rdf-schema#label Office of Compliance Inspections and Examinations