DOE Risk Alerts

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 ...

This Risk Alert encourages firms to review their controls designed to prevent unauthorized trading and other unauthorized activities

Observations related to the use of social media by registered investment advisers

The branch inspection process is a critical component of a comprehensive risk management program and can help protect investors and the interests of the firm. ...

The Securities and Exchange Commission’s (“Commission”) National Exam Program (“NEP”) has identified the master/sub-account trading model as a vehicle that could be used to further ...