What's New

Date Title Division/Office
SEC Division of Examinations Announces 2022 Examination Priorities Compliance Inspections and Examinations
Observations from Examinations of Private Fund Advisers Compliance Inspections and Examinations
Division of Examinations Observations: Investment Advisers’ Fee Calculations Compliance Inspections and Examinations
Observations from Examinations of Advisers that Provide Electronic Investment Advice Compliance Inspections and Examinations
Observations from Examinations in the Registered Investment Company Initiatives Compliance Inspections and Examinations
Observations Regarding Fixed Income Principal and Cross Trades by Investment Advisers from an Examination Initiative Compliance Inspections and Examinations
Observations from Examinations of Investment Advisers Managing Client Accounts That Participate In Wrap Fee Programs Compliance Inspections and Examinations
The Division of Examinations’ Review of ESG Investing Compliance Inspections and Examinations
Compliance Issues Related to Suspicious Activity Monitoring and Reporting at Broker-Dealers Compliance Inspections and Examinations
SEC Division of Examinations Announces 2021 Examination Priorities Compliance Inspections and Examinations
The Division of Examinations’ Continued Focus on Digital Asset Securities Compliance Inspections and Examinations
Executive Order on Securities Investments that Finance Communist Chinese Military Companies Compliance Inspections and Examinations
Observations from Examinations of Broker-Dealers and Investment Advisers: Large Trader Obligations Compliance Inspections and Examinations
OCIE Observations: Investment Adviser Compliance Programs Compliance Inspections and Examinations
Observations from OCIE’s Examinations of Investment Advisers: Supervision, Compliance and Multiple Branch Offices Compliance Inspections and Examinations
Cybersecurity: Safeguarding Client Accounts against Credential Compromise Compliance Inspections and Examinations
Select COVID-19 Compliance Risks and Considerations for Broker-Dealers and Investment Advisers* Compliance Inspections and Examinations
SEC Announces Creation of the Event and Emerging Risk Examination Team in the Office of Compliance Inspections and Examinations and the Appointment of Adam D. Storch as Associate Director Compliance Inspections and Examinations
Cybersecurity: Ransomware Alert Compliance Inspections and Examinations
Observations from Examinations of Investment Advisers Managing Private Funds Compliance Inspections and Examinations

Last Reviewed or Updated: June 28, 2024