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Sources tell RCW that Elon Musk’s DOGE teams are poking around the Commission and that all staffers have been instructed to cooperate with them and ...
This is another new DOE document request letter issued after the second Trump Administration took office in January 2025
'I’m doing exams next week. I’m doing exams next month,' SEC's Dan Faigus tells Investment Adviser Association conference
'Don’t let the uncertainty at the agency and across the federal government take your eyes off the ball,' Patterson Belknap's Greg Baker says
Big change has come to Washington, D.C. but it hasn’t stopped SEC examiners from plying their trade. Here’s our latest look at what’s hot on ...
RCW has obtained its first copy of an SEC examination document request letter sent to an adviser after the new Trump Administration took office and ...
Sample the first DOE exam letter of 2025 shared with RCW
This new SEC document request letter signals what are hot topics for examiners
The third-party risk landscape, registered index-linked securities, and extended hours trading are the new topic areas flagged
SEC settlement highlighted compliance review failures, the CCO's communications with a rep, and the ultimate resolution