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OCIE Expands Use of Trade Blotters

Traders Magazine, November 2007

Nina Mehta

Staff examiners at the Securities and Exchange Commission's Office of Compliance Inspections and Examinations are moving into data-crunching mode. OCIE is beginning to standardize its analysis of information in trading blotters in its examinations of investment companies and investment advisers. This is driven by the recognition that the trade blotter "provides staff with a wealth of information," said Gene Gohlke, associate director of OCIE.

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