SEC Examinations

A source shares an SEC exam letter sent to an advisory firm

The committee took a similar step 10 years ago but the Commission failed to take it up

RCW has obtained questions SEC examiners ask related to off-channel communications

"Would an approach that relies on user fees or third-party examiners foster bad habits at the Commission?  The SEC recently has exhibited an unhealthy preoccupation ...

RCW has obtained a new SEC exam document request letter. While the scope of the exam looked at topics well beyond the ad rule, it’s ...

This is the DOE's second risk alert tied to the new IA ad rule

Later this month, the SEC’s Investor Advisory Committee is scheduled to take up draft recommendations designed to ensure that more investment advisers are examined

RCW has obtained recent SEC exam document request letters. Here’s a sampling of what some of the letters sought on advisers and their so-called value ...

Some people deserve special attention. Members of one group worthy of yours are “value added investors”

This 2023 DOE exam letter includes a focus on advertising, and other topics