SEC Examinations

Diverse Mature Students Learning in Classroom, Using Laptops and Writing in Notebooks. Male And Female Class Attendees Listening to Lecture And Taking Notes During Adult Education Course in School

SEC exam recap: Keep your firm’s websites current

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July 19 2024

Word on the street reveals SEC examiners are slowly returning to on-site exams, although many remain virtual. Their interest in adviser marketing has only heated up like pavement in July

Gentleman who is oblivious to the risks around him.

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A CCO lesson: Don’t ignore SEC examiners

Carl Ayers -

July 18 2024

You don’t need to be a psychic to predict enforcement troubles would follow

Business statistics concept. Marketing. Analysis. Management strategy.

Private Funds

Adviser fined over misleading private fund advertisements

Carl Ayers -

June 17 2024

When advertising the performance of a private fund, the adviser presented performance returns that were experienced by a single investor. These returns did not constitute fund performance

Business people dressed in smart casual clothing working in office

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A risky exam strategy: Declining interviews

Carl Ayers -

June 13 2024

“It’s poking the bear. It’s giving the impression of being uncooperative, and the impression that you have something to hide”

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.