About the Examination Section

About the Examination Section

The Division conducts examinations and interviews to ensure compliance with laws and regulations. The examination sections' staff licenses and regulates securities broker-dealers, agents, investment advisers, and investment adviser representatives.  A significant portion of the section's regulatory focus involves conducting books and records examinations on state-licensed investment adviser firms (generally those that manage less than $100 million).  In addition, the examination section regulates individual securities through the acceptance of registration and exemption filings.