Examinations

Much attention has focused of late on the hack of the SEC, the same entity that OCIE examiners would ask you to upload your documents ...

The SEC approved Oct. 5 FINRA’s rule proposal to streamline competency exams and expand opportunities for prospective securities professionals seeking to enter or re-enter the ...

Louis Martin Blazer III billed his investment advisory firm as a concierge for professional athletes. But after OCIE examined the firm in 2013, it detected ...

Turns out OCIE’s on track to boost its 2017 exams even more than predicted (IA Watch, April 13, 2017). SEC Chair Jay Clayton told Congress ...

A peer passes along a copy of the firm's initial document request letter from an SEC exam.

OCIE’s been examined and no deficiencies were found – although its documentation procedures could be improved.   Some advisers will find irony in the new ...

Some dispute that the recent SEC document request letter on business development companies that we shared with you comes from a sweep exam (IA Watch, ...

With FINRA using data analytics and other high-tech tools that zero in on risk, the exam process is now more focused than ever. That means ...

With cybersecurity risks threatening our privacy, it’s no wonder some would seek technology to shield their communications from prying eyes. But you can also understand ...

Signs had already pointed to a significant increase in IA exams by OCIE this year (IA Watch, April 13, 2017). SEC Chairman Jay Clayton told ...