SEC Examinations

Real estate loan contract concept and mortgage calculator. Terms of contract documents, real estate agreements and real estate price fees.

Fees and expenses, valuations an SEC focus

'The biggest area of enforcement that we continue to see is around private jets'

Compliance receives heat in cherry-picking case

SEC settlement highlighted compliance review failures, the CCO's communications with a rep, and the ultimate resolution

Post-exam tweaks made by FINRA

A change impacts the timing of follow up with firms on exam findings that were not highly material

International reg battle heats up

The RIAs are 'essentially caught between two regulators'

About this page

The SEC currently examines about 15% of the Commission-registered investment adviser universe each year. Preparing for the possibility of your firm being selected for an exam is mission critical. This collection will help in that effort. You can find our continuously updated news on exams, including priorities, focus areas, peer-proven prep practices, and selection criteria. You can also access document request letters, risk alerts, sweep correspondence and more.

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