SEC Examinations

This letter includes language directed at the adviser if it makes a privilege claim.

This document request letter asks many questions about possible cybersecurity events suffered by the adviser

This is a never-been examined request letter that went to an adviser.

This is a common exam letter.

Consider this another never-been-examined-before adviser undergoing an SEC exam.

The newest list of OCIE exam priorities resembles past ones in that many of the topics match what the agency put out last year. But ...

An advertising case that led to an adviser being barred is now headed to the U.S. Supreme Court.   On Jan. 12th, the High Court ...

Many signs point to the SEC upping their exams of IAs. Earlier this year, there was a prediction of a 25% increase in IA exams ...

OCIE has released its 6th risk alert this year. The latest one doesn’t give municipal advisors a good compliance grade.   In Observations from Municipal ...

Recent OCIE document request letters obtained by IA Watch may be left to speak for the agency on the issue