SEC Examinations

A wide-angle view of a board room meeting which is all women. They are discussing ideas and working on things together to come up with business opportunities.

DOE exam questions tied to key personnel

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

DOE exam letter focused on cybersecurity

A peer shares a DOE request that focused on cybersecurity

DOE exam letter to a newly registered adviser

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

New exam letter: ad rule questions

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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