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Division of Exams’ Priorities

This document identifies selected 2016 examination priorities of the Office of Compliance Inspections and Examinations of the Securities and Exchange Commission. In general, the priorities ...
This document identifies selected 2015 examination priorities of the Office of Compliance Inspections and Examinations of the Securities and Exchange Commission. In general, the priorities ...
This is the list of OCIE exam priorities for 2014. This was released Jan. 9, 2014.
This is a list of OCIE's 2013 exam priorities. This marked the first time the SEC has ever published such exam priorities. This is designed ...
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