SEC Examinations

The SEC's exams division seeks 20 new staffers, with some dedicated to examining “the growing number of registered investment advisers, including those that advise private ...

The idea of charging user fees to pay for SEC RIA exams resurfaces

The DOE also vows at least a modest return to pre-pandemic days. “We also expect to increase our on-site interactions with regulated entities while continuing ...

The Division encourages broker-dealers to review their practices, policies, and procedures with respect to Regulation Best Interest in order to address the issues raised in ...

An SEC document request letter from a new exam of an investment adviser obtained by RCW reveals another sign of what will be scrutinized when ...

This SEC exam letter from 2023 probes fees and advertising

It just may be more anticipated than a Hollywood blockbuster: How will SEC examiners press advisers on complying with the new advertising rule?

Other examples that examiners will look for include C-level support for a robust compliance program; a lack of double standard treatment for C-level staff and ...

It doesn’t appear SEC examiners interest in advisers that pursue ESG strategies is dulling. RCW has obtained two new Division of Examinations document request letters ...

This second in a new series on exams conducted by the SEC’s Division of Examinations shares strategies for acing your next one