SEC Examinations

SEC and FCA levy record fines

Regulators 'really pushing the boundaries' with fintech

Observations from Broker-Dealer Examinations Related to Regulation Best Interest

The Division encourages broker-dealers to review their practices, policies, and procedures with respect to Regulation Best Interest in order to address the issues raised in this Risk Alert

Revenue sharing conflicts trip up dual registrant

Firm failed to "fully and fairly" disclose conflicts tied to revenue sharing payments and incentives received from two clearing brokers

Another peek at exams and advertising

An SEC document request letter from a new exam of an investment adviser obtained by RCW reveals another sign of what will be scrutinized when it comes to the new IA ad rule

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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