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| less than a minute read

A rose by any other name would smell as sweet

Nice to see an overdue elevation to full Division status after 25 years for the SEC's examinations team (the artists formerly known as OCIE)

Since its inception, OCIE has grown – in both number (over 1,000) and percentage (23%) of SEC employees – to represent the second largest office or division at the SEC, second in size only to the Division of Enforcement. In that time, OCIE has greatly increased the effectiveness of the Commission’s compliance and examination function . . . . To better reflect these important contributions and its overall role at the Commission [effective December 17, 2020], OCIE will be renamed the “Division of Examinations”. . . .

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Tags

compliance, inspections, examinations, securities