SEC Examinations

These 4 tips can help you reduce your risks

This latest risk alert suggests that the Commission thinks the industry needs additional help mastering the advisers' marketing rule

The Division continues to focus on advisers’ compliance with the Marketing Rule. The staff is sharing these observations to continue to promote compliance with the ...

These cases provide clear takeaways. First, share 'sufficient information' so that your intended audience can adequately understand the ads

The SEC’s new exam priorities offer the private fund industry the first light touch they’ve had in years, but heavy hands await those fund managers ...

Expect examiners to train their attention on P&Ps and whether they're enforced, whether disclosures address fee-related conflicts, and more

Broker-dealers can expect SEC examiners to ask about net capital rules, customer protection and their firms’ “internal processes, procedures and controls,” the Commission says in ...

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 ...

This exam letter from the SEC's Miami Regional Office signals what topics are interesting examiners there

Expect examiners to 'look at your network segmentation, how do you break up your network to protect sensitive environments from' a public environment as well ...