Examinations

Titan violated the Marketing Rule by advertising hypothetical performance without having adopted and implemented policies and procedures reasonably designed to ensure that the hypothetical performance ...

Our periodic recounting of what examiners in the SEC’s Division of Examinations are pursuing in adviser exams samples several new exam request letters obtained by ...

Examiners asking funds about their advisers

Multiple sources have told RCW that the SEC has launched its long-anticipated Division of Examinations sweep tied to the IA advertising rule, and we’ve gotten ...

Sources describe this DOE exam letter as coming from the SEC's sweep exam tied to the new IA ad rule

'Shockingly low' compliance budgets collide with regulatory demands

A source shares an SEC exam letter sent to an advisory firm

RCW has obtained questions SEC examiners ask related to off-channel communications

"Would an approach that relies on user fees or third-party examiners foster bad habits at the Commission?  The SEC recently has exhibited an unhealthy preoccupation ...

The SRO conducts about 1,000 exams each year and executes "several thousand" more cause exams annually