SEC Examinations

Sources describe this DOE exam letter as coming from the SEC's sweep exam tied to the new IA ad rule

Noted deficiencies related to inadequate disclosures and compliance programs that failed to measure up

This is a copy of a 2023 SEC document request exam letter

This is a copy of an SEC exam letter that went to an advisory firm in 2023

A peer shares a new SEC exam document request letter

A source shares an SEC exam letter sent to an advisory firm

The committee took a similar step 10 years ago but the Commission failed to take it up

RCW has obtained questions SEC examiners ask related to off-channel communications

"Would an approach that relies on user fees or third-party examiners foster bad habits at the Commission?  The SEC recently has exhibited an unhealthy preoccupation ...

RCW has obtained a new SEC exam document request letter. While the scope of the exam looked at topics well beyond the ad rule, it’s ...