SEC Examinations

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 ...

An advertising case that led to an adviser being barred is now headed to the U.S. Supreme Court.   On Jan. 12th, the High Court ...

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 ...

OCIE has released its 6th risk alert this year. The latest one doesn’t give municipal advisors a good compliance grade.   In Observations from Municipal ...

Recent OCIE document request letters obtained by IA Watch may be left to speak for the agency on the issue

Much attention has focused of late on the hack of the SEC, the same entity that OCIE examiners would ask you to upload your documents ...

They may not be great in number but the SEC’s Boston Regional Office has returned to doing something that had been curtailed to only cases ...

Recorded: 07-18-2017

The SEC has made “recent and rapid advancements” with its analytic programs that are harnessing the power of big data and these developments are having ...

OCIE’s been making the rounds lately, not on exams, but on tour. Last week, the agency completed its fourth and final outreach meeting of 2017 ...