SEC Examinations

A peer shares the firm's SEC document request letter. The firm had never been examined before. A topic pursued by examiners was how the firm ...

An SEC sweep exam looking at pay-to-play issues most likely explains this document request letter. This came out of the SEC's Chicago regional office.

A new office within the SEC’s Office of Compliance Inspections and Examinations will consolidate and streamline OCIE’s risk assessment, market surveillance, and quantitative analysis teams. ...

This year could bring the end of Advisers Act rule 206(3)-3T (temporary rule for principal trades with certain advisory clients) – although this has been ...

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 ...