Pub. L. 111-203, tit. IX, subtit. F, sec. 965

COMPLIANCE EXAMINERS.

EnactedYear: 2010Length: 120 wordsOfficial source
SEC. 965. COMPLIANCE EXAMINERS. Section 4 of the Securities Exchange Act of 1934 (15 U.S.C. 78d) is amended by adding at the end the following:“(h) Examiners.—“(1) Division of trading and markets.—The Division of Trading and Markets of the Commission, or any successor organizational unit, shall have a staff of examiners who shall—“(A) perform compliance inspections and examinations of entities under the jurisdiction of that Division; and“(B) report to the Director of that Division.124 STAT. 1912“(2) Division of investment management.—The Division of Investment Management of the Commission, or any successor organizational unit, shall have a staff of examiners who shall—“(A) perform compliance inspections and examinations of entities under the jurisdiction of that Division; and“(B) report to the Director of that Division.”.
Pub. L. 111-203, tit. IX, subtit. F, sec. 965: COMPLIANCE EXAMINERS. | Justis AI