SEC Examinations

PF adviser settles fee case for $325K

Boston adviser learns value of good compliance officer

SEC shatters PF enforcement record

'Broken windows' gets industry workout

Advertising rule exams promised

A clear message being conveyed by the alert is that advisers better be able to 'substantiate material statements' in their ads

‘Extensive’ PII failures cost firm $35 million

Morgan Stanley charged with falling "woefully short" in the firm's PII protection efforts

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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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