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Examinations: Best Practices

Like cars whipping around a racetrack, some compliance issues have a knack of coming around again and again
“The Division is providing this information so that advisers may prepare themselves for an examination,” reads DOE’s 7th risk alert of 2023
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.
The SEC's exam division releases this risk alert "so that advisers may prepare themselves for an examination"
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RCW has obtained evidence of the division’s latest sweep and it targets advisers that engage in hypothetical performance marketing
Photo of a small mess on a hard wood floor being swept up with a green broom.
RCW has obtained a sweep letter from SEC Enforcement staff tied to the new ad rule
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Our periodic recounting of what examiners in the SEC’s Division of Examinations are pursuing in adviser exams samples several new exam request letters obtained by ...
Low Section Of Female Janitor Sweeping Crumbled Paper On Floor With Broom
Multiple sources have told RCW that the SEC has launched its long-anticipated Division of Examinations sweep tied to the IA advertising rule, and we’ve gotten ...
A photo of a business meeting in a modern office with large windows. A businessman is standing up while his colleagues are sitting down. They are smartly dressed. Horizontal daylight indoor photo.
This is a copy of a 2023 SEC document request exam letter
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This is a copy of an SEC exam letter that went to an advisory firm in 2023
A peer shares a new SEC exam document request letter

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