SEC Examinations

"Group of college students in the university amphitheatre, they are sitting and doing an exam."

Final part of a series: Lessons from recent SEC exams

As with exams over the past year, the DOE quizzed about the use of electronic communications for business purposes

Pay-to-play case panned by SEC commissioner

IA penalized $60K for running afoul of the Commission's pay-to-play rule

Part 1 of a 2 part series: A glance at what’s hot on SEC exams

A source tells us of a new inquiry seen in a current exam. Examiners are probing the use of so-called 'shared work platforms,' like Google Docs

Exams Director Best: Provide compliance resources

Compliance officers must remain vigilant, and their bosses need to provide “the proper resources” to compliance departments, counseled the SEC Division of Examinations Director Richard Best

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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