Home SEC Examinations

SEC Examinations

Noted deficiencies related to inadequate disclosures and compliance programs that failed to measure up
A photo of a business meeting in a modern office with large windows. A businessman is standing up while his colleagues are sitting down. They are smartly dressed. Horizontal daylight indoor photo.
This is a copy of a 2023 SEC document request exam letter
Senior Architect with his team reviewing blueprint in the office. Looking at digital tablet and blueprints.
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
Group of business people is working on new business strategy with a financial analyst while analyzing financial chart during meeting in the office.
A source shares an SEC exam letter sent to an advisory firm
I'll pay cash
The committee took a similar step 10 years ago but the Commission failed to take it up
Cropped shot of unrecognizable businesspeople using their wireless devices in the office
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 ...
Businesswoman hand placing or pulling wooden Dominoes with BRAND text. and Marketing, Advertising, Logo, Design, Strategy, Identity, Trust and Values. Product development concept
This is the DOE's second risk alert tied to the new IA ad rule
rcw
rcw

Copyright PEI Media

Not for publication, email or dissemination