What's New

Date Title Division/Office
Keith E. Cassidy Named Interim Acting Director of the Division of Examinations Division of Examinations
Broker-Dealers: Staff Assessment of Risks, Scoping of Examinations, and Requesting of Documents Compliance Inspections and Examinations Division of Examinations
Risk Alert: Initial Observations Regarding Advisers Act Marketing Rule Compliance Compliance Inspections and Examinations Division of Examinations
Risk Alert: Shortening the Securities Transaction Settlement Cycle Compliance Inspections and Examinations Division of Examinations
Risk Alert: Observations Related to Security-Based Swap Dealers Compliance Inspections and Examinations Division of Examinations
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
Risk Alert: Investment Advisers: Assessing Risks, Scoping Examinations, and Requesting Documents Compliance Inspections and Examinations Division of Examinations
Risk Alert: Observations from Anti-Money Laundering Compliance Examinations of Broker-Dealers Compliance Inspections and Examinations Division of Examinations
Risk Alert: Examinations Focused on Additional Areas of the Adviser Marketing Rule Compliance Inspections and Examinations Division of Examinations
Risk Alert: Observations from Examinations of Investment Advisers and Investment Companies Concerning LIBOR-Transition Preparedness Compliance Inspections and Examinations Division of Examinations
Risk Alert: Safeguarding Customer Records and Information at Branch Offices Compliance Inspections and Examinations Division of Examinations
Risk Alert: Observations from Examinations of Newly-Registered Advisers Compliance Inspections and Examinations
SEC Division of Examinations Announces 2023 Priorities Division of Examinations
Observations from Broker-Dealer Examinations Related to Regulation Best Interest Compliance Inspections and Examinations
Observations From Broker-Dealer and Investment Adviser Compliance Examinations Related to Prevention of Identity Theft Under Regulation S-ID Compliance Inspections and Examinations
Observations Related to Regulation NMS Rule 606 Disclosures Compliance Inspections and Examinations
Observations Related to Regulation NMS Rule 606 Disclosures Compliance Inspections and Examinations
Examinations Focused on the New Investment Adviser Marketing Rule Compliance Inspections and Examinations
Recent Observations from Municipal Advisor Examinations Compliance Inspections and Examinations
Investment Adviser MNPI Compliance Issues Compliance Inspections and Examinations

Last Reviewed or Updated: June 28, 2024