SEC Examinations

“The Division is providing this information so that advisers may prepare themselves for an examination,” reads DOE’s 7th risk alert of 2023

RCW has obtained evidence of the division’s latest sweep and it targets advisers that engage in hypothetical performance marketing

Titan violated the Marketing Rule by advertising hypothetical performance without having adopted and implemented policies and procedures reasonably designed to ensure that the hypothetical performance ...

Our periodic recounting of what examiners in the SEC’s Division of Examinations are pursuing in adviser exams samples several new exam request letters obtained by ...

Multiple sources have told RCW that the SEC has launched its long-anticipated Division of Examinations sweep tied to the IA advertising rule, and we’ve gotten ...

Sources describe this DOE exam letter as coming from the SEC's sweep exam tied to the new IA ad rule

Noted deficiencies related to inadequate disclosures and compliance programs that failed to measure up

This is a copy of a 2023 SEC document request exam letter

This is a copy of an SEC exam letter that went to an advisory firm in 2023

A peer shares a new SEC exam document request letter