DOE Risk Alerts

This Risk Alert provides summary observations from OCIE’s examinations of registered broker-dealers and investment advisers, conducted under the Cybersecurity Examination Initiative, announced April 15, 2014

This Risk Alert summarizes deficiencies that OCIE staff observed in the controls that certain broker-dealers put in place to comply with obligations related to sales ...

OCIE will be conducting examinations of more than 50 registered broker-dealers and registered investment advisers, focusing on areas related to cybersecurity. In order to empower ...

This Risk Alert summarizes OCIE staff observations on the due diligence practices of certain investment advisers that manage and/or recommend alternative investments to their clients

Compliance issues related to Rule 105 of Regulation M, which governs short selling prior to pricing of certain offerings. Key Takeaways: Investment advisers, investment companies, ...

This is an OCIE risk alert published in August 2013 that includes best practices for RIA business continuity plans (BCP) taken from lessons learned following ...

This Risk Alert encourages awareness of options trading activity that could be used to avoid complying with the close-out requirements under Reg SHO. Such activities ...

OCIE's National Exam Program staff observations regarding ways in which advisers fail to comply with the Advisers Act custody rule

Regulatory concerns related to “Pay‐to‐Play” practices under MSRB rules

Examiners have observed that some broker-dealers have not maintained, nor did they require the maintenance of, adequate written evidence that they complied with their obligations ...