SEC Examinations

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.

LATEST SEC EXAMINATIONS COVERAGE

Gift

Gifts & Entertainment: While not a hot exam topic, you still must heed compliance

Set minimum and maximum G&E amounts in your software system. Anything over a threshold must be approved by compliance

SEC Acting Exams Director takes up Reg S-P changes, exams’ approach

"We want to take this opportunity to clearly articulate our approach to achieving our shared goal of improved information security through the implementation of the updated Regulation S-P"

Both sides claim victory in IA case

If you sell insurance annuities, you may wish to ensure that you disclose the exact amount that you receive in compensation

The shakeup at the SEC continues

Sources tell RCW that Elon Musk’s DOGE teams are poking around the Commission and that all staffers have been instructed to cooperate with them and permit their access to the agency’s systems

New 2025 DOE Exam Request Letter

This is another new DOE document request letter issued after the second Trump Administration took office in January 2025

Crystal balling the SEC under Trump

'We are going to see the end of regulation by enforcement, which I think is welcomed by many of our clients'

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