Examinations

This is a common exam letter.

Consider this another never-been-examined-before adviser undergoing an SEC exam.

Last month, the SEC’s regional office in Fort Worth, Texas, held a free dial-in call for registrants to share what’s hot on exams.   “We ...

The newest list of OCIE exam priorities resembles past ones in that many of the topics match what the agency put out last year. But ...

Come October 1, those new applicants looking to register as reps will have to pass a general knowledge examination—the Securities Industry Essentials Exam (BD Watch, ...

Enforcement actions have the benefit of giving you a road map on how to address supervisory and other problems perceived by your regulator. But failing ...

Many signs point to the SEC upping their exams of IAs. Earlier this year, there was a prediction of a 25% increase in IA exams ...

The SEC has removed the “acting” from Peter Driscoll’s job title and elevated him to OCIE director. He had been named as acting director in ...

The word’s being heard throughout many recent SEC exams. While most exams may be shorter and less intensive, expect that OCIE will want to interview ...

This one hails from the SEC's Miami Regional Office.