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Best Practices For Interacting With SEC Examination Staff

Law360 (May 29, 2018, 2:58 PM EDT) -- In recent years, the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations has increased its examination efforts and has served as a powerful resource for the SEC’s Division of Enforcement.[1] As the role of OCIE seems to have shifted to a more investigative function aimed at reporting potential violations to Enforcement, broker-dealers and investment advisers must exercise caution in their interactions with OCIE examiners. This article provides background on OCIE examination programs and practical advice when facing an OCIE examination.[2]

Introduction

OCIE administers the SEC’s National Exam Program, or NEP, for registered entities. The goal of the NEP...

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