Broker-Dealers: Staff Assessment of Risks, Scoping of Examinations, and Requesting of Documents

Today the Division of Examinations published a Risk Alert to help broker-dealers prepare for an examination. The Risk Alert provides information regarding what Division staff may consider when selecting firms to examine and areas of focus for the examination. It also provides the types of information, including documents, staff may initially request during an examination of a broker-dealer and includes a Sample Initial Information Request List.  

View the Risk Alert: Staff Assessment of Risks, Scoping of Examinations, and Requesting of Documents