office of Compliance Inspections and Examinations

SEC Report Reveals Gaps in Broker-Dealers’ Use of Client Info

By Michelle A. Samaad | October 2, 2012

Report highlights conflicts of interest scenarios and strengths and weaknesses identified in examinations into how broker-dealers keep material, non-public information from being misused.
Biggest SEC Enforcement Effort is Advisor Misconduct

By Staff Writer | June 8, 2012

Former SEC enforcement chief says unit has been "unprecedented in its success."
SEC Struggles With Surge of Investment Advisers

By Michelle A. Samaad | February 9, 2011

The number of registered investment advisers has increased so dramatically since 2004, the SEC said it is overwhelmed, understaffed and out of resources to keep up with exams to monitor their activities.
SEC Seeks More Investment Adviser Oversight Authority

By Michelle A. Samaad | January 20, 2011

The SEC is asking Congress to give it more power to strengthen its investment adviser examination program including through assessing fees to fund exams, according to a new study from the commission.