SEC Examinations

The Midwest investment adviser had wended its way successfully through an SEC exam only months before an examiner from the Department of Labor arrived. Mere ...

The staff of the U.S. Securities and Exchange Commission’s Risk and Examinations Office of the Division of Investment Management is reviewing how firms that are ...

President Barack Obama has called on the doubling of the funding for the SEC from its 2015 level by 2021. In his 2017 fiscal year ...

This letter showcases the topics of interest from an SEC exam that's part of its ReTIRE initiative. This letter comes courtesy of Jason Roberts, CEO ...

New OCIE Director Marc Wyatt is putting his stamp on the IA exam program in a big way. Sources tell IA Watch that reports OCIE ...

Exchange-traded funds, a continuation of the ReTIRE initiative, the suitability of variable annuities and private placements under Reg D are among the new priorities OCIE ...

This December 2015 letter comes from a "phone" exam. It contains a long list of items, including for a list of mutual funds with share ...

The SEC examined 10% of the registered investment adviser population in fiscal 2015, meeting its goal and equaling the mark set in 2014. While critics ...

The result could hardly have ended any worse for Michael Carino, CCO at AlphaBridge Capital Management ($296M in AUM) in Greenwich, Conn. The SEC says ...

The initiative will dig into investment recommendations, conflicts, compliance and marketing