TAILIEUCHUNG - EXAMINATIONS BY THE SECURITIES AND EXCHANGE COMMISSION’S OFFICE OF COMPLIANCE INSPECTIONS AND EXAMINATIONS

As one might expect from the preceding results in Tables 1 and 5, most of the return differences between new moon and full moon windows are insignificant at the individual exchange level. The persistence results are also similar to earlier results. New moon returns exceed full moon returns for most years for 16 out of 18 exchanges, one shows an even split of years, and one shows the converse result. Similar to Figures 1 and 2, in Figure 3 we illustrate the economic magnitude of the return differences by presenting a graph of annualized new moon and. | EXAMINATIONS BY THE SECURITIES AND EXCHANGE COMMISSION S OFFICE OF COMPLIANCE INSPECTIONS AND EXAMINATIONS February 2012 I. EXAMINATIONS OF INVESTMENT ADVISERS INVESTMENT COMPANIES BROKER-DEALERS MUNICIPAL SECURITIES DEALERS TRANSFER AGENTS CLEARING AGENCIES SELF-REGULATORY ORGANIZATIONS MUNICIPAL ADVISORS AND OTHERS A. Executive Summary 1. The Commission s Office of Compliance Inspections and Examinations OCIE supports the SEC s mission to protect investors maintain fair orderly and efficient markets and facilitate capital formation by conducting examinations through examination teams in the home office in Washington DC and in regional offices located in Atlanta Boston Chicago Denver Fort Worth Los Angeles Miami New York Philadelphia Salt Lake City and San Francisco. Collectively the examination staff in these offices carries out the Commission s National Examination Program NEP for investment advisers investment companies broker-dealers municipal securities dealers transfer agents clearing agencies self-regulatory organizations SROs municipal advisors and others. 2. The enactment of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 Dodd-Frank Act Pub. L. No. 111-203 124 Stat. 1376 on July 21 2010 expands the Commission s examination authority to include several additional types of entities persons. These are discussed in more detail below. 3. OCIE has continued to implement the recommendations of the top-to-bottom self-assessment that it began in 2010 of the strategy structure people process training and technology improvements that should be made to the examination program. The results so far of this implementation are discussed in more detail below. 4. The goals of the examinations conducted by staff in the National Examination Program are to 1 improve compliance 2 prevent fraud 3 inform policy and 4 monitor firm-wide and systemic risk. When the staff conducts special examinations to gather information about areas of interest or concern to .

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