OCIE Issues National Exam Program Overview

On March 13, the Office of Compliance Inspections and Examinations (OCIE) of the SEC issued a National Exam Program Overview setting forth OCIE’s examination results for 2011 as well as detailing the strategic areas upon which the OCIE will focus its 2012 examination efforts for investment companies, investment advisers, broker-dealers, self-regulatory organizations, credit rating agencies, clearance and settlement programs, and coordination with other regulators.  National Exam Program Overview.