Examinations: Best Practices

FINRA provides an update on targeted exam sweep to review broker-dealers' offering of, and services provided to, SPACs and their affiliates

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

The SEC's exam division releases this risk alert "so that advisers may prepare themselves for an examination"

RCW has obtained evidence of the division’s latest sweep and it targets advisers that engage in hypothetical performance marketing

RCW has obtained a sweep letter from SEC Enforcement staff tied to the new ad rule

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 ...

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 ...

This is a copy of a 2023 SEC document request exam letter

This is a copy of an SEC exam letter that went to an advisory firm in 2023