This one hails from the SEC's Miami Regional Office.
This one was sent to an advisory from the SEC's Chicago Regional Office.
This is the SEC's guide to sharing exam and other documents with OCIE via the agency's encrypted e-mail system.
Accellion is a secure file transfer tool that enables you to send and receive encrypted information to/from SEC staff members using a special electronic mailbox. ...
The SEC released in September 2017 16 new Form ADV FAQs to help the industry navigate its revised form.
Advisers should review their compliance programs and practices in light of the topics noted in this Risk Alert. This information is intended to assist advisers ...
A peer shares the firm's policies and procedures for marketing materials and advertising.
The following FAQs provide information on (1) a “fiduciary status disclosure” issue under the Department of Labor’s ERISA section 408(b)(2) service provider disclosure regulation that ...
This Risk Alert provides a summary of observations from OCIE’s examinations of registered broker‐dealers, investment advisers, and investment companies conducted pursuant to the Cybersecurity Examination ...
An IA shares the firm's initial exam request letter.