Office of Compliance Inspections and Examinations (OCIE)


The department within the Securities & Exchange Commission (SEC) responsible for inspecting and examining brokers, dealers, self-regulatory organizations, clearinghouses, and other market participants.
Browse Definitions by Letter: # A B C D E F G H I J K L M N O P Q R S T U V W X Y Z
office exclusive Office of Equal Opportunity (EEO)