Examinations

Consider creating a diagram of your firm to help you put together all of its pieces. And supplement this by setting up a spreadsheet of ...

It's clear the SEC is trying to find ways to conduct its oversight role in a cheaper and more efficient manner. One sign is the ...

The man who spent nearly a decade tipping off the SEC to his belief that Bernie Madoff ran the world's largest Ponzi scheme surfaced last ...

Two new exam letters obtained by IA Week highlight regulators' new interests: firms' relations with broker-dealers, adviser's dealings with Bernie Madoff and their pursuit of ...

A listing of hot SEC exam topics from 2007 - 2008.

The SEC set about last year trying to slay the rumor dragon, targeting the beast that employs false or malicious stories to manipulate securities. Given ...

One of the repercussions of the Bernie Madoff scandal could be an unleashed inspection staff at the SEC. "Clearly the SEC's been burned by the ...

Start gathering your documents as soon as you receive the letter – the SEC’s notice that its examiners are coming and the list of materials ...