Examinations

Examples of a quarterly report of personal securities transactions and a personal trading quarterly report form courtesy of Robert Lavigne at GW & WADE in ...

In what began as a routine SEC exam in September 2008 has ended with fraud charges against a California investment advisory firm and its principal ...

For years, mostly institutional investors would issue their RFPs to advisers with that one line that would disarm: "Please include a copy of your most ...

Responding to an RFP by stating that your firm's most recent SEC exam ended with "no material weaknesses or deficiencies" could be misleading and violate ...

A copy of the SEC's 2009 CCOutreach documents on custody and the Division of Investment Management's summary of recent SEC rulemaking.

Once again the SEC is showing other federal agencies how to chart new ground in the electronic age. The agency offers three Twitter accounts - ...

The controversial tactic of reaching out to advisory firm clients has become more real with the release of a four-page document the SEC states is ...

OCIE examiners descended upon one advisory firm in force in recent weeks. After they left, the CCO concluded "it went very well." One reason: the ...

For the first time, the SEC has brought an enforcement action tied to the proxy voting rule [Advisers Act rule 206(4)-6], and the case's resolution ...

The SEC alleges a Wisconsin advisory firm and two of its principals took millions in undisclosed kickbacks, breached their fiduciary duties, misrepresented the quality of ...