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Report File
Date Issued
Submitting OIG
Securities and Exchange Commission OIG
Other Participating OIGs
Securities and Exchange Commission OIG
Agencies Reviewed/Investigated
Securities and Exchange Commission
Components
Division of Examinations
Report Description

Enhanced Planning, Performance Measurement and Evaluation, and Information Can Improve Oversight of Broker-Dealer Examinations report No. 583

Report Type
Audit
Agency Wide
Yes
Number of Recommendations
6
Questioned Costs
$0
Funds for Better Use
$0

Open Recommendations

This report has 1 open recommendations.
Recommendation Number Significant Recommendation Recommended Questioned Costs Recommended Funds for Better Use Additional Details
6 Yes $0 $0

Review and update, as appropriate, procedures and guidance relevant to asset verification and risk ratings to ensure recordkeeping in TRENDS is consistent across broker-dealer examination files, which may include incorporating reviews of this information across broker-dealer examinations.

Securities and Exchange Commission OIG

United States