July 22, 2024
Keith E. Cassidy Named Interim Acting Director of the Division of Examinations
Division of Examinations
June 5, 2024
Broker-Dealers: Staff Assessment of Risks, Scoping of Examinations, and Requesting of Documents
Compliance Inspections and Examinations
Division of Examinations
April 17, 2024
Risk Alert: Initial Observations Regarding Advisers Act Marketing Rule Compliance
Compliance Inspections and Examinations
Division of Examinations
March 27, 2024
Risk Alert: Shortening the Securities Transaction Settlement Cycle
Compliance Inspections and Examinations
Division of Examinations
Jan. 10, 2024
Risk Alert: Observations Related to Security-Based Swap Dealers
Compliance Inspections and Examinations
Division of Examinations
Sept. 7, 2023
Denver Regional Office Compliance Outreach: Registration is now open for the in-person events to be held on October 24th (Denver) and October 26th (Salt Lake City)
Compliance Inspections and Examinations
Division of Examinations
Sept. 6, 2023
Risk Alert: Investment Advisers: Assessing Risks, Scoping Examinations, and Requesting Documents
Compliance Inspections and Examinations
Division of Examinations
July 31, 2023
Risk Alert: Observations from Anti-Money Laundering Compliance Examinations of Broker-Dealers
Compliance Inspections and Examinations
Division of Examinations
June 8, 2023
Risk Alert: Examinations Focused on Additional Areas of the Adviser Marketing Rule
Compliance Inspections and Examinations
Division of Examinations
May 11, 2023
Risk Alert: Observations from Examinations of Investment Advisers and Investment Companies Concerning LIBOR-Transition Preparedness
Compliance Inspections and Examinations
Division of Examinations
April 26, 2023
Risk Alert: Safeguarding Customer Records and Information at Branch Offices
Compliance Inspections and Examinations
Division of Examinations
March 27, 2023
Risk Alert: Observations from Examinations of Newly-Registered Advisers
Compliance Inspections and Examinations
Feb. 7, 2023
SEC Division of Examinations Announces 2023 Priorities
Division of Examinations
Jan. 30, 2023
Observations from Broker-Dealer Examinations Related to Regulation Best Interest
Compliance Inspections and Examinations
Dec. 5, 2022
Observations From Broker-Dealer and Investment Adviser Compliance Examinations Related to Prevention of Identity Theft Under Regulation S-ID
Compliance Inspections and Examinations
Nov. 10, 2022
Observations Related to Regulation NMS Rule 606 Disclosures
Compliance Inspections and Examinations
Nov. 10, 2022
Observations Related to Regulation NMS Rule 606 Disclosures
Compliance Inspections and Examinations
Sept. 19, 2022
Examinations Focused on the New Investment Adviser Marketing Rule
Compliance Inspections and Examinations
Aug. 22, 2022
Recent Observations from Municipal Advisor Examinations
Compliance Inspections and Examinations
April 26, 2022
Investment Adviser MNPI Compliance Issues
Compliance Inspections and Examinations