Securities and Exchange Commission and Office of Compliance Inspections and Examinations

SEC / OCIE / NEP

The Office of Compliance Inspections and Examinations (OCIE) conducts the SEC’s National Exam Program (NEP). The NEP’s mission is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies 

   Is Your Organization Prepared?

The NEP’s mission is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The results of the NEP’s examinations are used by the SEC to inform rule-making initiatives, identify and monitor risks, improve industry practices and pursue misconduct

National Exam Program - Offices and Program Areas

OCIE is organized into several offices and program areas to best support and carry out the mission of the National Exam Program (NEP):

The Investment Adviser/Investment Company (IA/IC) Examination Program

The IA/IC examination program is responsible for conducting exams of investment advisers and investment companies, such as mutual funds and exchange-traded funds.

The Broker-Dealer and Exchange (BDX) Examination Program.

The BDX examination program is responsible for conducting exams of broker-dealers, national securities exchanges, transfer agents, municipal advisors, the Public Company Accounting Oversight Board and the Securities Investor Protection Corporation.

The Clearance and Settlement (CS) Examination Program

 The CS examination program is responsible for conducting exams of clearing agencies, some of which have been designated as systemically important financial market utilities. 

The FINRA and Securities Industry Oversight (FSIO) Examination Program.

 The FSIO examination program is responsible for conducting exams of the Financial Industry Regulatory Authority and the Municipal Securities Rulemaking Board. 

The Technology Controls Program (TCP)

TCP is responsible for conducting examinations of entities subject to Regulation Systems Compliance and Integrity (SCI).  This program area also administers the SEC’s CyberWatch program, which is the primary intake point for information filed under Regulation SCI. 

The Office of Risk and Strategy (ORS)

ORS conducts risk assessment, market surveillance, quantitative analysis, large firm monitoring and focuses on operational strategy in support of each of the program areas within the NEP.

The Office of Chief Counsel (OCC)

Conduct bi-annual, documented risk assessments that consider threats and the examination of current controls in relation to identifying risk.

MDS offers assessments that evaluate the effectiveness of your cyber security controls and provides a prioritized and risk-based security road-map, with detailed recommendations to you can update your security protocol with confidence.

Don't Wait Until the Last Minute to Meet New Compliance Standards!

Contact an MDS today to receive expert guidance on how to get your security program up and running.

Learn More

Our Pledge:

Building out and maintaining your IT ecosystem doesn’t have to be a do-it-yourself project. MDS can help identify network issues, configure devices, and optimize your infrastructure to maximize efficiency and performance.

Our consultants are highly trained technology specialists that understand the complexities of multi-vendor environments and have the knowledge and skills to help your business become more agile, customer-focused and operationally efficient.

 

Contacts:

NYC Headquarters:
307 West 38th Street, Suite 1801
New York, NY 10018
Tel: 646-744-1000

Miami Office:
Tel: 786-899-2980
San Juan Office:
Tel: 646-469-6229

Email:
contactus@mdsny.com