SEC ALert! Kristin Snyder, Deputy Director of Division of Examinations, to Leave SEC. Kristin Snyder, Deputy Director of the Division of Examinations (EXAMS), is leaving the agency at the end of this month after more than 18 years of service.
The Investment Adviser/Investment Company (IA/IC) Examination Program. The IA/IC examination program conducts examinations of investment advisers and investment companies, such as mutual funds and exchange-traded funds.
The Broker-Dealer and Exchange (BDX) Examination Program. The BDX examination program conducts examinations of broker-dealers, national securities exchanges, transfer agents, municipal advisors, the Public Company Accounting Oversight Board and the Securities Investor Protection Corporation.
The Clearance and Settlement (CS) Examination Program. The CS examination program conducts examinations of clearing agencies, some of which have been designated as systemically important financial market utilities.
The FINRA and Securities Industry Oversight (FSIO) Examination Program. The FSIO examination program conducts examinations of the Financial Industry Regulatory Authority and the Municipal Securities Rulemaking Board.
The Technology Controls Program (TCP). TCP conducts examinations of entities subject to Regulation Systems Compliance and Integrity (SCI). This program area also administers the SEC’s CyberWatch program, which is the primary intake point for information filed under Regulation SCI.
The Event and Emerging Risks Examination Team (EERT). EERT engages with financial firms about emerging threats and current market events; quickly mobilizes to provide expertise and resources to the SEC's regional offices when critical matters arise; and provides expertise and support to Division staff in response to significant market events.
The Office of Risk and Strategy (ORS). ORS conducts risk assessment, market surveillance, quantitative analysis, large firm monitoring and focuses on operational strategy in support of each of the program areas within the Division.
The Office of Chief Counsel (OCC). OCC provides advice on law, policy, operations and ethics to examiners across the Division; coordinates with other regulators; reviews proposed legislation and rulemaking; and serves as a liaison for investigations and audits of the Division.