SEC Examinations

Prison time may well be in the future of two former portfolio managers after federal juries in New York brought separate convictions last week.Michael Steinberg ...

Apparently it's called a "corrective action review" and OCIE's projecting that it will occur in 5% of IA/IC exams. If examiners find many deficiencies and ...

Your planning for an SEC exam just got simpler. Until now, OCIE's never released its list of exam priorities - until last month.IAs and other ...

You may never have heard of Ken Joseph but he's about to have a big impact on how the SEC examines investment advisers and companies. ...

It may have taken longer than expected and result in fewer examiners, but the SEC's Division of Investment Management expects to bring on board 5-6 ...

Last year the SEC visited 8% of RIAs. If Congress were to grant the President's FY 2013 budget - which would kick in in October ...

The Office of Compliance Inspections and Examinations' new National Exam Manual appears to be taking shape. It should end up around 100 pages, be "relatively ...

A hedge fund manager in New York is claiming vindication of his long-held view that the SEC inappropriately investigated him after he had complained about ...

An attorney for the SEC's Enforcement Division in Fort Worth, Texas, is scheduled to go to court Aug. 24 to face charges of misdemeanor assault ...

One compliance officer reports three firms within a one-mile radius underwent exams recently in the same week.File this occurrence as an additional sign that authorities ...