SEC Examinations

Running down exam hot spots

When examiners find a compliance issue that appears to have been missed by a firm, it naturally makes them wonder what else the firm hadn’t spotted

Unregistered B-D charged in pre-IPO fraud

The SEC alleges that the defendants raised $410 million via the scheme from more than 2,200 investor

SEC sues Allianz CIO claiming years of lies cost investors billions

“After the COVID-related market drop in March 2020, Defendants engaged in multiple efforts to conceal their misconduct from the SEC. Those efforts, however, did not succeed.”

SEC Chairman Gensler asks Congress for more money to increase IA exams

"The funds we requested will support only about a 5 percent increase in the number of staff that examine investment advisers"

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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