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Display stock market data at outdoor.
RCW shares a new SEC exam sweep document request letter going to advisers
Businessman working at office and calculating finance, reads and writes reports. Business financial accounting concept.
Given that the SEC ushered in a quicker trade settlement rule in May, you would expect the DOE to conduct a sweep exam to assess ...
Diverse Mature Students Learning in Classroom, Using Laptops and Writing in Notebooks. Male And Female Class Attendees Listening to Lecture And Taking Notes During Adult Education Course in School
Word on the street reveals SEC examiners are slowly returning to on-site exams, although many remain virtual. Their interest in adviser marketing has only heated ...
Gentleman who is oblivious to the risks around him.
You don’t need to be a psychic to predict enforcement troubles would follow
Business people dressed in smart casual clothing working in office
“It’s poking the bear. It’s giving the impression of being uncooperative, and the impression that you have something to hide”
Two businessmen reading a document on clipboard
This is the Division of Examinations' exam brochure
Last summer, the SEC released a risk alert designed to help investment advisers prepare for their next DOE exam. Now, the Commission returns the favor ...
Students writing in the exam hall of the college
This DOE risk alert provides insights into how the SEC selects B-Ds to examine, and topics to query
Mature man looking at a digital tablet that a colleague is showing at work
This is SEC 2866 that covers rules around providing information during an examination
"Group of college students in the university amphitheatre, they are sitting and doing an exam."
As with exams over the past year, the DOE quizzed about the use of electronic communications for business purposes
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