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SEC Examinations

Securities and Exchange Commission, SEC, Building in Washington DC. The SEC regulates stocks and bonds and related financial activities.
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 ...
A photo of a business meeting in a modern office with large windows. A businessman is standing up while his colleagues are sitting down. They are smartly dressed. Horizontal daylight indoor photo.
This is another new DOE document request letter issued after the second Trump Administration took office in January 2025
This image is a digital composing. Created with Adobe Illustrator CS and Adobe Photoshop CS. The file was created 2014-06-01.
'We are going to see the end of regulation by enforcement, which I think is welcomed by many of our clients'
SEC examiners will ask to be provided with "sufficient information to support the claim of privilege"
Silhouette of stressed businesswoman in the office.
A staff-wide email unsettles SEC staffers at a time of great turmoil for all federal employees
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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 ...
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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 ...
Real estate loan contract concept and mortgage calculator. Terms of contract documents, real estate agreements and real estate price fees.
'The biggest area of enforcement that we continue to see is around private jets'
Aerial view of Train passing through famous mountain in Filisur, Switzerland. Landwasser Viaduct world heritage with train express in Swiss Alps snow winter scenery
The RIAs are 'essentially caught between two regulators'
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The Division is providing this information to help municipal advisors better understand the examination process and prepare for an examination
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