Office of Compliance Inspections and Examinations
GPTKB entity
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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 |
| https://www.w3.org/2000/01/rdf-schema#label |
Office of Compliance Inspections and Examinations
|
| 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
|