Examinations

'It's about the level of care,' expert warns

This second in a new series on exams conducted by the SEC’s Division of Examinations shares strategies for acing your next one

In this first of a three-part series on recent exams, we pass along a list of other tips provided by sources talking with RCW about ...

Sources have shared with RCW questions from what’s described as a new Division of Examinations sweep exam looking at how firms handle use of e-devices ...

Update offers questions for firms to consider when evaluating their supervisory systems and risks related to options accounts approvals and monitoring

Regulators 'looking to send a message to the market'

FINRA is seeking a list identifying each crypto-related communication provided and firms WSPs

'Proactive compliance' comes down to three things, said Enforcement Director Gurbir Grewal. 'That’s what we’re looking for from each of you'

Exams focus on alt data, suspicious "wins"

More than one in five cases involved fees, expenses or valuations