SEC Examinations

Economic stress causes compliance stress

PF Latest News

December 4 2023

'Historically, these have been the major areas that have been stressed during marketing cycles, and I think the SEC has noticed that'

Close-up stock photograph showing a touchscreen monitor being used in an open plan office. A woman’s hand is asking an AI chatbot pre-typed questions & the Artificial Intelligence website is answering.

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RCW exclusive: Check out AI sweep exam letter

Carl Ayers -

October 26 2023

Two months ago, RCW revealed that the SEC’s Division of Examinations has launched a sweep exam related to advisers’ use of artificial intelligence—but we weren’t able to share the exam letter, until now

ai Artificial Intelligence technology for work performance.globalization and analytics management concepts

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DOE AI Sweep Letter

Carl Ayers -

October 26 2023

RCW has obtained a copy of the SEC Division of Examinations' sweep exam letter tied to AI or artificial intelligence

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.

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DOE releases ’24 exam priorities

Carl Ayers -

October 16 2023

It’s the first time in the 12 years that the exam division has released its annual exam priorities that they’ve appeared the year before they take effect

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.