SEC Examinations

March proved to be a tough month for the SEC in two federal courts. One judge accused the Commission of “gross misconduct” and, in a ...

Among other things, EXAMS may review whether and how Registrants have evaluated the potential impact of the final rules on their: (i) business activities; (ii) ...

Commission staff used Form PF data together with other information to identify hedge fund advisers whose reported data ― such as returns, exposures, liquidity ― ...

A source shares with RCW an SEC exam letter focused on internet services

Check out exam questions from the SEC and addressed to a private equity fund adviser

Gain takeaways from this 2024 SEC exam letter

Eye an SEC exam document request letter from an ongoing exam

The alert recounts the fundamental compliance rules under the SEC’s security-based swaps regime, and points out where some swap dealers are coming up short

RCW has obtained a copy of what’s described as a new SEC exam sweep checking on compliance with Form 13F filings

Gain takeaways from the latest SEC risk alerts