Examinations: Best Practices

Consider creating a diagram of your firm to help you put together all of its pieces. And supplement this by setting up a spreadsheet of ...

The SEC set about last year trying to slay the rumor dragon, targeting the beast that employs false or malicious stories to manipulate securities. Given ...

One of the repercussions of the Bernie Madoff scandal could be an unleashed inspection staff at the SEC. "Clearly the SEC's been burned by the ...

Start gathering your documents as soon as you receive the letter – the SEC’s notice that its examiners are coming and the list of materials ...