Division of Examinations
About
The Division of Examinations maintains a critical presence among market participants by conducting on-site examinations of various registrants. Examiners determine whether firms are conducting activities in accordance with the federal securities laws and related rules, adhering to disclosures made to customers and the general public, and implementing supervisory systems or policies and procedures that are reasonably designed to ensure compliance with applicable legal requirements.
- Learn more about exam program areas
Risk Alerts
The Division of Examinations issues Risk Alerts to remind firms of their obligations under the federal securities laws and help them improve their systems, policies, and procedures.
Compliance Outreach Program
The Compliance Outreach Program opens communication lines between the SEC and registrants, providing public forums to share information and assist firms in assessing and enhancing their compliance and controls.
Resources for Registrants
Examination Hotline
Most questions or issues that arise during an examination can be handled by the examination staff or their supervisors. When that is not the case, a registered entity may contact the Examination Hotline, which is administered by the Office of Chief Counsel within the Division of Examinations in coordination with the SEC's Office of Inspector General. The Examination Hotline can be reached at 202-551-EXAM orexamhotline@sec.gov. Registrants may request anonymity when speaking with staff. If you have a tip or complaint, please visitSubmit a Tip or Complaint.