SEC Examinations

Try simply sending the vendor an email that states the vendor knows about the new notification requirements and revised Reg S-P

You could almost hear a sigh of relief breathed by CCOs at dual registrants who have had to respond to separate SEC and CFTC exams ...

"To avoid duplicative examinations, the Parties will strive to conduct coordinated exam planning, joint or aligned examinations where appropriate, and share exam findings and supervisory ...

The SEC examiner said 'we’re going to want to talk with several people' during an exam

Don’t believe it if you’ve heard that the SEC under the Trump administration has gone easy on registered private fund advisers

The CCO/rep "allocated to his own account a disproportionate share of both day trades and multi-day trades that achieved gains on the first day. He ...

Want to get a sense of what SEC examiners are asking private fund advisers? Check out this recent DOE letter that sources have shared with ...

Prepare for your next SEC exam by seeing what examiners are interested in

A very limited number of personnel will be able to respond to emergency situations involving market integrity and investor protection, including law enforcement

In this new world of deep fakes, it’s nice to know you can confirm someone is who they claim to be. Like an SEC examiner