SEC Examinations

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Check out new DOE exam letter

This new SEC document request letter signals what are hot topics for examiners

Third-party risk flagged in oversight report

The third-party risk landscape, registered index-linked securities, and extended hours trading are the new topic areas flagged

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

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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