SEC Examinations

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DOE exam questions tied to key personnel

IA Compliance Toolbox
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RCW shares questions from a recent DOE advisory firm exam that focus on the firm's organizational structure and its key personnel
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IA Compliance Toolbox

DOE exam letter focused on cybersecurity

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A peer shares a DOE request that focused on cybersecurity
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IA Compliance Toolbox

DOE exam letter to a newly registered adviser

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This is an example of a DOE document request letter issued to a newly registered investment advisory firm
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Investment Advisers

New exam letter: ad rule questions

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The new request shared with RCW asks the adviser if it updated its P&Ps for the new ad rule and, if not, to explain why

About this page

The SEC currently examines about 15% of the Commission-registered investment adviser universe each year. Preparing for the possibility of your firm being selected for an exam is mission critical. This collection will help in that effort. You can find our continuously updated news on exams, including priorities, focus areas, peer-proven prep practices, and selection criteria. You can also access document request letters, risk alerts, sweep correspondence and more.

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