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PREPARING FOR SEC INSPECTIONS
Compliance Inspections and Examinations by
The SECs Examination Program
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1998 SEC LEXIS advertisement Advisers Act Rel advisory amended appropriate Arthur Levitt assets associated best execution books and records broker broker-dealer brokerage clients Commission's conduct contingency planning dealer directors disclose employees END FOOTNOTES enforcement action entities ERISA examination Exchange Commission firm's firms Fund's implementation industry inspection investment adviser's Investment Company Act Investment Company Institute Investment Management investors issuers issues limit order market maker Merrill Lynch Monetta mutual fund NASD Notice NASD Regulation NASD Rule Nasdaq Notice to Members NYSE OCIE offices OTCBB performance portfolio manager problems proposed rule purchase pursuant registered investment registered representatives registrant's regulatory request responsible sales practice SEC Rule SEC staff SEC's Section 28(e Securities and Exchange Securities Exchange Act securities laws soft dollar specific supervision trading transactions transfer agents U.S. persons violations wrap fee York Stock Exchange