Examinations

DOE pledges to explore ways to 'empower registrants and investors alike by providing transparency of key examination observations; maintaining focused engagement through our national and ...

State regulators conduct routine and for-cause examinations of broker-dealers and state-registered investment advisers

RCW has obtained a copy of a FINRA exam letter asking for the firm’s 'written supervisory procedures' related to 'clone funds'

This can be seen in an exam first—this new inquiry from the DOE document request letter

The CCO who admitted to the behavior received a $10,000 fine; the second—who didn’t cop to the backdating—got a $40,000 fine and a bar from ...

The new exam letter marks yet another look at the priorities of a newly reshaped SEC and the new administration

Draw conclusions from a batch of new SEC examination document request letters obtained by RCW—each dated after the second Trump Administration took office

As the deadline inches nearer to comply with the SEC’s revisions to Regulation S-P, look for the Commission’s Exams Division to help you get ready

"We want to take this opportunity to clearly articulate our approach to achieving our shared goal of improved information security through the implementation of the ...

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 ...